Practice Management

Two investors filed suits this week against the brokerage, claiming the Raymond James Bank Deposit Program benefitted the company at the expense of customers.

The Investment Adviser Association argues the rule was “adopted largely as proposed” and is “too prescriptive.”

A quick checklist that may help when dealing with mentally ill clients or beneficiaries.

What can make or break a successful transition?

And why it's so hard to create one.

Ken Leech is taking a leave of absence as co-chief investment officer after receiving a so-called Wells notice from the SEC, a warning that regulators may recommend enforcement.

The lawsuits filed in Minnesota and California federal courts come as a New York-based law firm announced a new task force looking into the controversial practice, assisted by former SEC Commissioner Robert Jackson, Jr.