As the court battle over L.A. Clippers owner's trust shows, people too often set up estate plans to cope with death, not old age.
A deal, which would combine two of the biggest U.S. brokerages outside of New York, could be announced within days, according to a person with direct knowledge of the matter.
Revisions are a sign of pressure to come on the financial reform package.
Raymond James Financial continued to build on momentum as pretax profit in the private client group hit a record in the firm's third fiscal quarter, jumping 39% as profit margins reached 10%. What's CEO Paul Reilly doing right?
Deal part of custodian's integration initiative with tech product providers.
merger and acquisition activity has long been a trusty sign of a maturing equity market cycle.
Boston Private Bank is paying $60M for Florida RIA Banyan Partners, a $4.3B firm, creating a new wealth management behemoth.
Finra charges broker Dean Mustaphalli opened fund and received commissions without disclosing the business to his firm. Whether Sterne Agee clients were affected remains a mystery.
They offer a lump sum in exchange for pension income and engage in other questionable practices.
Morningstar reached an agreement with Business Logic, which had filed an intellectual property lawsuit against the research firm.
Employment may be headed for a "breakout year."
Advisers support a move by the CFP Board of Standards, led by chairman Ray Ferrara, to ensure that advisers are accurately describing their compensation on its website, but they continue to have concerns about pay definitions.
Agency approves rule to throw more candidates into nonpublic pool.
SEC approves Finra background check rule; expanded requirement faces industry pushback but could help firms avoid rogue hires.
Plus: Janet Yellen's dovish optimism, Ernst & Young's $4 million lobbying settlement, how Citigroup agreed on that $7 billion figure, and QE has had almost no impact on unemployment
June FOMC meeting minutes shows policy makers on watch for too much risk taking, examine QE exit plan.
Year-old RIA backed by Raymond James making a splash with former Morgan Stanley brokers
Patricia Miller promised clients high yields if they went into “investment clubs.”
