Practice Management Articles

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Financial Planning Profession Needs More Regulation, Group Says.

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The Financial Planning Coalition says there are insufficient regulations for financial planners and members of the public are the ones being hurt because of it.

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Financial Advisors As Expert Witnesses -- A Good Idea?

by Joseph Cordell

Lucrative opportunities exist for an experienced financial advisor to serve as a retained expert witness providing testimony in court, says this attorney.

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Morgan Stanley's Brokers Pull In Fewer Fee-Based Assets

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Morgan Stanley's wealth management customers added far less money to their fee-based accounts in the third quarter than earlier this year, despite the firm's promotion of the lucrative accounts.

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Do Wall Street Arbitrators Go Easy On Discovery Violations?

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A former UBS AG branch manager's pay discrimination case in Puerto Rico highlights behavior some lawyers say can give brokerages an edge in arbitration: breaking discovery rules.

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Simple Steps To Stop Identity Theft

by FA Staff

The CFP Board is suggesting a few simple steps your clients can take to avoid identity theft.

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Brokers Stick To 'Wait It Out' Script As Markets Plunge

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The stock market quaked on Wednesday after a week of tremors, but financial advisors and stockbrokers stuck largely to their scripts.

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Elder Financial Abuse Expected To Increase, Says Allianz

by FA Staff

Elder financial abuse is an under-reported and misunderstood issue that is likely to get worse as America’s population ages.

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Five Retirement Recommendations To Help Every Client

by Robert Laura

Here's a short list of recommendations designed to spark conversations, uncover business opportunities and develop client loyalty like never before, says columnist Robert Laura.

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Fidelity First Custodian To Offer A 'Robo' Platform To Advisors

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Fidelity Institutional Wealth Services announced this morning that it plans to refer advisors looking for a “robo-advisor” platform to Betterment Institutional.

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Pro Bono Financial Planning Offered To Seniors

by FA Staff

The Foundation for Financial Planning and the CFP Board have partnered with the National Council on Aging to deliver free financial planning to senior citizens.

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