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Marks latest move in wirehouses’ effort to focus reps on top clients.

The NAPFA Comprehensive Financial Planning Diagnostic: Helping consumers understand what comprises truly comprehensive financial planning.

Within the individual brokerage firms, there is an ongoing tug of war going on.

Defection of top team could trigger ‘shock waves’ at Merrill: Recruiter.

Products are ‘difficult to assess,’ commission-based distribution seen as a problem.

SEC Chief Valediction: Beware of the investment world’s pitfalls.

Discount brokerage firm’s efforts to link investors to outside advisers stumble amid downturn.

The adviser’s quandary: How to construct an ethical fee arrangement.

Putting an end to a B share saga, the Securities and Exchange Commission last week said that an independent-contractor registered representative who was with an ING Advisors Network Inc. broker-dealer in the late 1990s committed fraud when he sold mutual fund B shares.

For those just beginning to work with an adviser, a little due diligence at the outset can save lots of money and pain down the line. Here are some questions – with notes on answers — to guide you through a first meeting.