The latest in Financial Advisor research and tools that can help your practice.
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Since 2006, taxpayers have won three significant victories related to valuation clauses. Numerous articles have been written on McCord,1 Christiansen2 and Petter,3 explaining both the legal underpinnings of those decisions and touting the...
You may have clients who are plaintiffs in a wrongful death or survival lawsuit (based on another's death) or in a lawsuit stemming from their own personal injuries. Those clients, and their personal injury attorneys, often don't realize the...
In his new book, David Skeel argues that Dodd-Frank financial reform legislation fails to limit financial risk or prevent another too-big-to-fail crisis. Worse, it institutionalizes bailouts and leaves American finance less stable and more...
True, the prospect of litigating a case brought by the Securities and Exchange Commission or the Financial Industry Regulatory Authority against a b/d or advisory firm is not a pleasant one, and an automatic reflex may be to settle...
Family businesses are different from other businesses. Besides unique estate tax, succession and governance issues, family businesses must also deal effectively with past, present and future family members, family values and the inevitable family...
Rather than pushing change through as quickly as possible, get your employees involved and ask for their input. You'll have much greater success at making your changes work for you and your business.
Securities America is just the latest broker/dealer to face financial distress. With so many firms falling into financial or legal hot water lately, financial advisors need to be prepared for the worst. Here's a checklist for your Plan B.
