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How do you ferret out unscrupulous financial advisors and bar them from ripping off the public? It sounds fairly easy, actually. After all, the securities industry has established the equivalent of a permanent record, the U4 and U5; the forms are...
Should Wall Street's wirehouse foursome be getting ready for another round of broker-driven class action lawsuits? According to Mark Thierman, yes, they should. Thierman, who led and settled a series of broker overtime suits against the major...
Brokers Facing Life in Jail: Eric Butler, a 37-year old former Credit Suisse broker, was convicted in August of fraudulently selling hundreds of millions of dollars in subprime securities to corporate clients in order to generate excess...
How much money did your clients lose last year? As has been well documented, investors lost trillions of dollars in 2008. It didn't have to be this way. You could have followed a simple, defensive investment approach that would have spared your...
As the psychologist and performance coach to countless financial advisors, the pressures of being actively engaged in other people's lives can certainly take its toll on me. So at the end of every summer, I take my wife out to Montauk on Long...
An Ohio based financial advisor is asking Smith Barney to forget about that loan he owes them which stems from a sign-on bonus. In fact, he alleges, the original contract he signed with his old firm is unenforceable and void.
Even in the past few years, there's been a quantum leap in the ability of modern technology tools designed to improve work group efforts and data management to help all family office stakeholders communicate and collaborate more easily and...
Babe Ruth's biographer, the sports writer Leigh Montville, has written that the famous baseball player's early years, spent mostly in an orphanage, are covered in a fog that settles over everything and will not leave.1 This description also fits...
