Will Leitch

It's fair to argue that the attention devoted to the market timing and late trading scandals is way out of proportion with their actual monetary impact on investors. But, for better or worse, John Q. Investor seems to...

Regulators have recommended “enforcement action†against Raymond James for failing to give clients breakpoint discounts

The news came right before the Thanksgiving holiday, so you might have missed it. But let there be no doubt: The mutual fund investigations have now gone nuclear. New York State Attorney General Eliot Spitzer told a U...

It is at once the simplest and most complex question a rep can ask: How many clients are too many? Clearly, a rep cannot service an unlimited number of customers at least not effectively. Still, it's not as though an...

If you don't look too closely, you might think the securities industry is in a golden age. After all, the thing that matters most profits is up. Way up. The Securities Industry Association estimates that pre-tax...

Each day seems to bring more news from the mutual fund industry. And industry reform is in the air. The climate is such that on Capitol Hill today even the mutual fund industry’s lobbying group had to eat some...

SAN FRANCISCOAt an open forum during Charles Schwab & Co.s annual conference, one Schwab advisor asked Randy Merck, the firms president of investment management, for assurance that the firm would not end up in the...

SAN FRANCISCO, Nov.12 -- With the securities industry continuing to be rocked by near-daily revelations of mutual fund malfeasance, the yearly IMPACT conference hosted by the proudly scandal-free Charles Schwab & Co...