Nancy Lininger of The Consortium spoke with Registered Rep. about how to offer clients fee relief without getting into trouble

Year in and year out I warn you folks to steer clear of the same catalog of violations and, just as surely, many of you take that as a challenge to try to come up with new ways of committing the same old tricks (and getting away with it). Alas...

For recently unemployed clients short on cash, try using 72(t) to withdraw penalty free from the client’s IRA. Here’s how to do it.

Smart decisions are based on more than government statistics, agency reports, news releases, interest rates and stock quotes. We've selected a few

Typically, RIA start ups outnumber joiners each year, but, as the economic outlook continues to worsen, more breakaway advisors are considering joining established firms. Custodians are happy to play matchmaker

Many small indie b/ds are feeling the margin pinch and have begun to quietly shop themselves around

TD Ameritrade Institutional is shifting its focus back to its core client group of RIAs with $50 million or less in assets. But it has some tough competition from Schwab and Fidelity

Bernie Madoff became a household name in just two short months. Now he's been memorialized with a toy doll.

Whenever investors proclaim the death of an investing strategy, it’s often a buy signal. During the first 11 months of the year, Bill Miller's Legg Mason Value (LMVTX) lost 58 percent, more than 20 percentage points behind the S&P 500...

With the market tanking and scandal marring Wall Street, many financial advisors are feeling stuck and hopeless. This little exercise can change the way you think, and put you back on track.