It is hard to watch television these days and not come across some courtroom drama in which the suspect proclaims: I take the Fifth! Oh, no! The detectives and prosecutors pound the desk and punch the wall. For starters, let's read the pertinent...

NASD Says No to Sharing In the first case of its kind, according to an NASD release, Securities America has been charged with funneling directed brokerage payments to a former broker with the firm, Michael Bullock, and misleading union retirement...

Creating lists such as this can be a notoriously capricious business. For starters, why only 10 people? Good question. But it forces a silly answer: The number 10 is a good number simple as that. Yes, it's somewhat arbitrary, but the object is to...

The securities industry is fighting tooth and nail to save 12b-1 fees. Exactly one month after the June 19 SEC roundtable convened to discuss the fate of 12b-1 fees, the securities industry’s lobby group, the Securities Industry and...

Seems like NASD and NYSE regulation can’t catch a break. First it was Muslims, now it’s the Financial Planning Association that is unhappy with the merged regulatory bodies’ potential new name.

The regulatory body composed of the NYSE Regulation and the NASD Regulation, known for the past 5 weeks as SIRA, is getting another name.

Sometimes we like to see the bad guys win for a while who wasn't rooting in a way for Tony Soprano? But we always feel better when the good guys emerge victorious in the end. That's essentially the plot of every action blockbuster. Unfortunately...

Of the many tasks you manage, the toughest to master may be your face-to-face interactions with clients. The highlight of the day for some advisors, it is the most confusing and opaque of jobs for many others. Either way, poor client communication...

What does integrity have to do with superior portfolio performance? A lot, say researchers in a study released in May, which found that advisors who demonstrate high levels of moral and emotional competency outperformed the S&P 500 by 73 percent...

Tampa: I feel that we're continually asked to cull the bottom of our book, says Sean. But what do you consider to be the ideal number of clients for a 21st Century financial advisor? Sean was honing into the heart of what has become an essential...