Practice Management

When going independent, your payouts rise substantially. But what about your compliance responsibilities?

Liquidity claims against professionals, business owners and wealthy individuals are rising. What can you do to help clients minimize risk of losses

The surprising success of Vanguard's new online financial planning service suggests advisors have some work to do

Sarah Teslik, CEO of the Certified Financial Planner Board, which monitors and supports the widely used CFP designation, announced in mid-October that she would resign from her post on Oct. 31 to take a position at Apache Corporation, an energy...

Less than 10 years after they settled the infamous boom-boom room case, Smith Barney is being sued for discrimination again. The new case, Fassbender Amochaev v. Citigroup Global Markets, Inc., d/b/a Smith Barney, was filed in United States...

NASD has been watching for brokers and firms who borrow from clients, agree to share losses or settle disputes privately

New York's highest court will soon decide whether a brokerage employee can contest the language an employer uses in the Form U5

SEC Busts Another Ponzi: The SEC filed securities fraud charges against Salvatore Favata, the former president of National Consumer Mortgage (NCM), a California company that held itself out as a residential mortgage broker. The complaint alleges...

If a client insists on liquidating part of her portfolio, particularly assets that are heavily concentrated, it's very risky to ignore her request