Gary Rathburn's financial adivsory business is growing like weeds on steroids. His secret? A little thing called wealth management

Although the Treasury Department and the Internal Revenue Service have significantly diminished its income tax advantages, split-dollar insurance can still be a valuable estate-planning tool. The IRS's final regulations1 created the ability to use...

A labor lawyer, armed with depression era law that was originally intended to protect blue-collar workers, is threatening Wall Street's age old compensation structure. Do you deserve to be paid overtime? Sick of paying your assistants salary?

Professional designations are proliferating. Too many seem more devoted to marketing than anything else.

Advisors who add a real estate license to their portfolio of skills may stand a better chance of keeping clients happy at home

Arbitration used to be relatively quick and cheap. Not anymore, and no one - not firms nor lawyers, nor brokers, nor customers - seems to like it. What to do?

What's an advisor's obligation when an elderly client wants to liquidate her investment portfolio, which consists entirely of stocks

NASD's baffling approach to Written Supervisory Procedures

At our last branch meeting, our manager took us all to the woodshed, complained Sal, a broker from Houston. It was over the complaints we were getting from clients about feeling rushed, being put on hold and getting transferred to the wrong person...