The free-flow of information is key to a healthy market. Yet, the SEC seems to want to put a stop to it unless it's information. Naked short selling (shorting a stock you haven't actually borrowed) has always been against the rules. The hedge fund...

In trying to fathom the amount of capital that financial firms have destroyed since last summer, I called an acquaintance who used to work at Merrill Lynch.

You might think that Bank of America, the nation's largest consumer bank, could pose a formidable threat to Wall Street's retail brokerage powerhouses. After all, it has a veritable army of affluent clients to whom it could offer financial advice...

Flip your switch into growth mode, and get some practice.

An SEC proposal and an administrative law judge say client information belongs to the b/d, not the rep. What now?

Hot-Handed Oldie Gets Jail: Eighty-one-year-old former Bayonne, New Jersey financial advisor Louis Cortellessa couldn't keep his gambling habits from corrupting his business or depleting his clients' accounts. A state superior court in Morristown...

When you are the face and the force behind your business’ success, it can be tough to maintain rapid growth. If you want to avoid burnout, you have got to actively promote your underlings and associates.

Teams come in all shapes and sizes. Even the simplest of teams can be a boost to business.

It just keeps getting worse for big named Wall Street firms. Today, William Galvin, secretary of the Commonwealth, announced that he is suing Merrill Lynch for fraudulent auction-rate securities (ARS) sales.

Could it be that a turf war is breaking out? In testimony before Congress Thursday morning, Securities and Exchange Commission Chairman Christopher Cox asked legislators to give the SEC authority to regulate investment banks.