It's not so mystical after all. Industry pundits and researchers have long debated whether it’s possible to predict market movements. In a new piece, Research Affiliates argues that you can. Co-founder and Vice Chairman Jason Hsu writes t...

A FINRA arbitration panel recently awarded an 82-year-old Florida resident and her daughter treble damages, ruling LPL Financial and its broker failed to adequately explain the tax consequences on an investment...

For the first time in nine years, the number of advisors grew last year. But despite the shift, observers say advisor headcount will begin a steep decline in 2019, as FAs start to retire en masse. Industry research firm Cerulli Associates said...

People on the move. Wells Fargo Advisors may be saying publicly it’s pleased with the arrangement it entered with Credit Suisse to recruit its 250 advisors, but $8 billion in assets have already flown the coop. Morgan Stanley announced Fri...

Fidelity Clearing & Custody is launching a new program that combines technology and education to help advisors better protect clients with diminished capacity from financial abuse...

The Securities and Exchange Commission announced fraud charges against Christopher Brogdon, an Atlanta-based businessman accused of misusing $190 million of funds raised in the name of building and renovating senior living facilities...

Click to Enlarge It’s been a good year for wealth management firms. According to Wall Street recruiting firm Options Group, which surveyed the top quartile of performers at top 10 firms, the top performers in private wealth management expe...

Equal rights for all. | Pekic/iStock/Thinkstock According to a report issued Wednesday by the Human Rights Campaign, the banking and financial services industry is leading the way when it comes to workplace equality for lesbian, gay, bisex...

• Inflation adjustments released—In Revenue Procedure 2015-53, the Internal Revenue Service issued the new inflation-adjusted tax amounts for 2016. The adjustments include the following, effective Jan. 1, 2016...