Practice Management

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...

Small hedge fund managers positive but wary

Advisors who hire media firms to get their names in the press may get a lot more than ego gratification

Can you justify your fees?

How a visit to the doctor resulted in a five year ban.

Merrill Lynch agreed to pay a $5 million NASD fine to settle charges that the firm's brokerage client call centers were poorly supervised.

When a former co-worker sets out to ruin an advisor's reputation it may be extremely difficult to extract any justice, much less the smudge on his reputation