It’s annual meeting season, a time for disgruntled shareholders to confront management face-to-face and let ‘em have it. Yesterday, Citigroup, Smith Barney’s parent, held an apparently long, long, long meeting in an effort to...

Now that most people have put their tax returns in the mail (or applied for extensions), it’s interesting to take a look at who is paying the lion’s share of taxes in the United States. We here at Registered Rep. try to avoid politics ...

It’s not exactly ground breaking news that Americans have a major retirement and savings problem. But next month, a group of Wall Street executives will meet with leaders in Washington D.C. to discuss a game plan to address those problems&...

How much is enough for a comfortable retirement? It’s a vexing question, particularly now that the vast baby boomer cohort is beginning to realize that they could live well into their 80s, 90s and even past 100.

The Financial Planning Association will be popping the bubbly tonight. Three years after suing the SEC over the controversial “Broker Dealer Exemption” rule, a federal court has ruled that the SEC exceeded its authority in adopting the...

Brokerage firms won a round Thursday in an ongoing battle over what they can and can’t say about departing brokers on their U5 records. In Rosenberg vs. MetLife, the New York Court of Appeals ruled that MetLife had "absolute" privilege over...

Fairly or unfairly, gambling and strip clubs have always been associated with slick, fast-talking Wall Street brokers. And while most financial advisors would argue that this is nothing more than an unfortunate stereotype, the headlines continue...

Although many other states have increasingly recognized the tort of intentional interference with an inheritance, New Jersey has been slow to do so, flirting with it. Many practitioners prefer to bring the tort action rather than a straight undue...

Today, our subscribers will receive an invitation to fill out Registered Rep. magazine’s annual Compensation Survey. It's confidential and important. You can read a copy of the letter by clicking on the title.

One of the last claimants from the 1997 class-action discrimination lawsuit against Merrill Lynch collected her reward late last month. Separately, Morgan Stanley has confirmed that it settled with over 3,000 claimants but would not comment...