The “information highway” can quickly become the road to ruin for some unwitting investors, according to Stephen Harbeck, president of the Securities Investor Protection Corporation (SIPC). In a conference call held by SIPC, together...

Previous rewards for selling funds and annuities are eliminated; producers with more than $300,000 in production will see a bump in compensation.

Profits are still up in the last seven of nine quarters, fueling optimism.

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

It’s getting harder for advisors to know whether they’re being paid correctly.

The wealthiest investors in America had a problem with mutual funds even before the industry's unethical behavior came to light.

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.S. Senate committee last...

It is never too soon to think about year-end tax issues. Imagine that you have the opportunity to take a loss on a stock you own, but, since you like the prospects of that stock over the long term, you could still control the stock. Have you ever...

“The stock went up, but my call didn’t!” “My call doubled when the stock rose only $2!” Some of the most commonly expressed frustrations with options are about how option prices change. This article will explain some...

The “Thanksgiving - Christmas – Super Bowl Strategy” It is never too soon to think about year-end tax issues. Imagine that you have the opportunity to take a loss on a stock you own, but, since you like the prospects of that...