“Alternatives” have become the hot dot in the retail advisory industry. But FRA panelists caution that liquidity is key when evaluating the options.

So, now the federal gub’ment wants to criminalize risk. Yup, apparently, the Justice Department is investigating JP Morgan Chase (Ticker: JPM) for its “whale” trade. (Some whale; it represents about 1% or more of its capital.) Here is...

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So far this year, more “mom-and-pop” broker/dealers are dropping out of the business compared to this time last year, according to new data from the Compliance Department Inc. I got on the phone today with Director of Business Development Davi...

How to get the most value for your practice when its time to sell? Put a plan in place to ensure clients will barely notice you are gone.

Investors are not happier campers when it comes to their full service brokerage, according to the latest satisfaction study by J.D. Power and Associates. Overall investor satisfaction is statistically flat—not only when compared with last year...