If you've got legal trouble, October may be your lucky month: It's mediation month. The program of events, sponsored by the NASD, kicks off on Oct. 3 at the New York City Bar Association in New York City. Perks include half price on all mediation...

If you're bankrupt, giving money to a religious institution is not an option, says one court.

You can find more opportunities - and affluent clients - by focusing on your goals

Reps say their clients don't want insurance but their clients say they do. If you want to hold onto these clients, you might want to consider their insurance needs more carefully

The line between brokers and fiduciaries has gotten blurry. When does a broker cross over?

In arbitration, the SRO warns you don't have Constitutional protection. But, there are limits

Imagine the American Cancer Society having tobacco company stock in its portfolio. Or picture the Alcoholics Anonymous portfolio owning a brewery. Though these examples are fictitious, these kinds of things happen: An investor's advisor, intent on...

The Securities Industry Association (SIA) and Wayne Klein, the director of Utah's Division of Securities, have agreed to put on hold Utah's recently approved “failure to deliver” law