New York for the first day of a one-and-a-half-day workshop, called 529 Boot Camp, held by 529 guru Joe Hurley, in New York.

Like any other rep, Ron Carson, whose $870 million practice rates him as one of America's top brokers, is vulnerable. This is the conclusion he drew from a 2002 incident in which he was hit with a $12 million complaint. He was accused of a garden...

Brokerage firm executives aren’t generally known for their glowing adoration for regulators and their proposals, but Dick Averitt of Raymond James Financial Services had some particularly harsh words for the NASD in a speech here Monday...

The SEC has nailed some additional broker/dealers for failing to disclose payment relationships they had with companies their research departments covered.

Imagine working for a broker/dealer which isn’t allowed to open new mutual fund accounts for a month.

In a move that surprised few, the SEC voted 5-0 Wednesday to ban “directed brokerage,” in which mutual fund managers direct trades through brokerages’ trading desks as a reward for them selling their funds to retail clients...

A new study from Boston-based Financial Research Corp. confirms what many in the industry have suspected for a few years now: The world of wholesalers is about to change dramatically.

A new study of mutual fund firms’ enforcement capabilities affirms what many in the industry have known for some time—that omnibus accounting practices by fund intermediaries make catching timers virtually impossible.

Three of the nation’s largest brokerage firms have agreed to make it easier for registered reps to take clients with them when they change firms—eliminating a lot of the cloak-and-dagger antics that brokers undergo when they decide to move to...

A little more than a year after the historic $1.4 billion settlement, the securities industry has quietly begun the process of winning back what it gave away in those scandals.