Advisors are often recruited to broker/dealers based on promises that the firm later fails to deliver on, according to a recent Registered Rep. reader poll...

Forget what you hear about gold and silver being rare commodities. Far more precious than metals is that holy grail of money management -- alpha. The cost of acquiring market outperformance -- or, more properly, the cost of acquiring the...

Suppose that an unhappy investor didn't specifically name you in a lawsuit or arbitration when he complained about your investing advice. You'd think that would get you off the regulatory disclosure hook, right? Think again...

Two years ago, over 20,000 advisors switched firms after the market tanked and three of the major Wall Street brokerage firms were swept up into shotgun marriages with other financial giants. Some advisors left Wall Street because they were...

The increasing importance that the advisor-assistant relationship plays in the loyalty of today's affluent client prompted the Oechsli Institute to conduct a study on advisors and assistants. Among numerous findings, we were able to uncover seven...