David Geracioti

This article appears on VonAldo.com, Registered Rep. editor David A. Geracioti’s new blog...

So, Bernie Madoff might finally plead guilty—but the fallout from his alleged fraud on the financial advisory business might not disappear for a long while. In our February cover story, we detailed how once...

We really don’t want to take sides, but we can’t help but notice that our long-time legal columnist Bill Singer is throwing down the gauntlet again. He’s challenging FINRA—for a meeting. You...

Any advisor who has worked for a wirehouse is familiar with the “penalty box.” The penalty box refers to a painful double whammy: A precipitous drop in production that knocks an FA down the payout grid. It...

If only financial institutions could invest as smartly as they contributed to Congressional and presidential campaigns, why, there would be no economic crisis at all

Looks like financial advisors catering to the affluent will have a new disaster to talk about: Obama’s tax hikes and closing of personal exemptions and itemized deductions. Oh, that and the nearly $4 trillion...

Danny Ludeman, head of Wachovia Securities, told managers earlier today that financial advisors would not receive any retention bonus. He will hold a conference call with financial advisors at 1 p.m. central time...

File this under “Financial Planning 101.” What to do when a big client’s big bonus and severance package may be the future legal target of disgruntled employees and shareholders?