Regulator says issue should be considered within broader fiduciary-duty decisions.
In leaving his estate outright to his partner, the Oscar-winning actor left her with a multimillion-dollar tax bill
Custodian hopes to land on growth path with new technology and new hires.
Report points to low-cost online platform, Millennial market, $1 billion in AUM.
The indie B-D behemoth is facing more turnover at the top, this time among its team of investment management professionals.
ClientWorks system, including efficiency measures and mobile access, will be tested until release in spring 2015.
Even as firms trim non-compensation expenses, profit margins stay below stated goals.
Not having a continuity plan for your practice is reckless. Dan Candura's story highlights the challenges advisers face when time runs out.
Corporate Insight study shows how leading online startups are shoring up their business models.
Advisers need to keep client data safe from internal hacks, not just those from outside cybercriminals.
Foundation for Financial Planning in talks that could significantly expand the group's efforts to provide volunteer financial planning services to military professionals.
Though data breaches are rare, state regulators worry they are on the uptick, and firms are preparing.
Changes to Worksite Financial Solutions will enable participants to access plans on mobile devices.
After cancer treatment and a series of scandals, JPMorgan Chase's Jamie Dimon scores a behind-the-scenes victory on derivatives trading
Lawrence Raffone will replace CEO and co-founder Jeffrey Maggioncalda, who will leave Jan. 1.
Star broker has moved to Wunderlich Securities following termination.
The hybrid firm has brought on over $1 billion in assets from the wirehouse in the past month.
Burt White is sticking to his previous call that stocks will produce 10% gains in 2014, with room potentially to move slightly higher.
The right claiming strategy can significantly increase lifetime benefits
