In this section we present key findings and insights from our survey questions on practice management and operations, including services offered, the most time-consuming activities, professional designations, custody relationships and documentation trends.
Eliot Spitzer may have less than a month left as New York State's attorney general, but the governor elect says there may be at least one more high-profile enforcement action against a major Wall Street firm before he leaves his post in January...
Shelf Space No No: The Hartford Financial Services Group agreed to pay $55 million to settle SEC charges that three subsidiaries of the firm failed to disclose their use of client mutual fund assets to pay brokerage firms to market The Hartford...
The independent contractor broker/dealer model is growing to put it mildly. In fact, between 2003 and 2005, the sector saw a 32 percent increase in revenue.
