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Can you justify your fees?

How a visit to the doctor resulted in a five year ban.

There isn't a broker or financial advisor who hasn't been hit with reams of new compliance responsibilities in the past several years. But just how much is it actually costing firms?

Merrill Lynch agreed to pay a $5 million NASD fine to settle charges that the firm's brokerage client call centers were poorly supervised.

When a former co-worker sets out to ruin an advisor's reputation it may be extremely difficult to extract any justice, much less the smudge on his reputation

Advisors need to pay closer attention to their errors and omissions insurance than they generally do, or risk suffering the consequences

Editorial Staff