Practice Management

Most registered reps compare themselves to professionals, such as doctors and lawyers. But, in fact, it seems that, financial advisors may be held to the same labor law standards as an hourly employee

Advisors need to be fearless if they want to sign up affluent clients

SEC Tackles Wachovia Insider

Sometimes it's better to fight than to settle

One of the most financially attractive exit strategies for the owner of a closely held business is to sell his company stock to an employee stock ownership plan (ESOP). An ESOP-assisted buyout can serve as a successful business succession plan...

New York's highest court let the decision in Matter of Dumont stand, creating a bit of a mess in New York and adding to the cacophony of recent state court decisions on large stock concentrations. Despite the noise, the decisions are adding up to...

Citigroup agreed in mid-May to pay a record $98 million to past and present advisors to settle their overtime-pay claims. It's the fourth major financial firm to settle a class-action suit regarding overtime pay within the past 10 months

Rainmaking demands that you approach every activity with your 'serious money' antenna out. Pick up oppurtunities you are prepared to capitalize on.