Practice Management

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B-Ds Find Ways To Bypass Finra Arbitration

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Some brokerage firms are successfully avoiding Finra arbitration for employment disputes—despite Finra rules to the contrary.

The Gurus' Financial Guru

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Fifteen years ago, Ajay Gupta abandoned his advisory practice in Canada to start anew in San Diego. He got help from high-profile clients like Tony Robbins and Deepak Chopra.

Calm Valued In Manic Market

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Investors want their advisors to help them stay calm when markets are volatile, a new survey says.

Advisors Stay The Course Amid Monday's Market Drop

by Karen DeMasters and Christopher Robbins

Some advisors anticipated the decline, and on days like today their role is as much soothing client nerves as it is managing money.

SFA Acquires MerCap

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The deal gives insurance agents at the target firm a path to become advisors.

How To Help Grieving Clients

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Advisors need to deal with their clients as people, as well as handling their finances, experts say.

Adult Children Need Special Protection

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When clients have children turning 18, advisors can help them with the kids' transition to adulthood.

TD Ameritrade Expands Approach To Solving Advisor Shortage

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TD Ameritrade has expanded its program to bring new talent to RIAs and brokerages through scholarships, internships and a career exchange website.

Eight Traits of Highly Successful Advisors

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Learning the eight traits can help every advisor be more successful, says a new study by Jefferson National.

New Fiduciary Rule Will Cost Industry, Investors $3.9B, FSI Says

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FSI says new retirement plan fiduciary rule will force advisory firms out of business and hurt consumers.

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