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Mandatory arbitration isn't just bad for your clients. It's bad for you too.

Your firm holds all the cards in determining how much of a promissory note you have to pay if you leave before its term is up

When a client passes away you are still obligated to act in his best interest. If you don't, you may wind up wishing you could join them.

After more than a decade of discussion, the SEC has finally issued guidance on the controversial fate of soft dollars.

Wachovia Self-Dealing Suit; Merrill Fined for Firing Rep

Ameriprise seems to be doing just fine without the backing of its former parent company, American Express. The firm had a good second quarter, meeting analyst consensus expectations, enjoying strong asset flows, improving advisor productivity and...

In the past dozen years, spurred by the Prudent Investor Act and other major new trust laws, families with substantial trust assets (typically $100 million and more) have turned in growing numbers 1to organizing and chartering state trust...

From David T. Leibell and Daniel L. Daniels, principals in Cummings & Lockwood LLC in Stamford, Conn., we have this update: The Internal Revenue Service has ruled that a charitable remainder trust's investment in a private equity fund did not...