Archive

In the pro shop of a Florida golf course, I was introduced to a man who, I was told, was worth more than $100 million. I was there to try to entice him to invest in a Reg. D offering I was then representing as it happens, a fund of venture capital...

Filling out a U-4 incorrectly, no matter how earnest your intent, can come back to haunt you.

Efforts to teach personal finance skills in schools have been good, but they should be tweaked to emphasize planning instead of daytrading.

How to talk to prospective high-net-worth clients.

Diversification—to an extreme—is worth a look. How extreme? Some extreme fund managers own everything from common stock to converts to bank debt—all to their investors' delight.

Life planners pinpoint their clients' larger goals—repairing broken relationships with grown children, say, or becoming more involved in community activities—and then design a financial plan to make those desires a...

Dissidents finally get a sit-down with the NASD, but to what effect?

Hedge funds have been blamed for nearly every financial panic over the years. Pity that so many people misunderstand them.

Despite the fear and loathing, many firms intend to add staff. But the outlook for salaried jobs—such as sales assistants—still looks bleak.

War isn't good for stocks, much less brokerage firms. But brokerage shares, when they are on their backs, tend to pop up when the conflict is resolved.