An SEC proposal and an administrative law judge say client information belongs to the b/d, not the rep. What now?

Registered Rep.: What is your favorite cause? Jan Schalkwijk: That would have to be the environment. As an avid outdoor person, I rely on nature to recharge my batteries. RR: Who most inspired you to get involved in socially responsible investing...

Woodbury Financial Services, an independent broker/dealer and a subsidiary of The Hartford Financial Services Group, named Scott Carlson senior vice president of distribution. The Securities and Exchange Commission has named Donald M. Hoerl acting...

Can, say, an oil company, be considered an eco-responsible company? What about a company that caters to “non-married” lifestyles? Is that “socially responsible”? One man's virtuous stock is another man’s sinful stock.

Advisory teams come in all shapes and sizes. Here are profiles of three teams that are thriving.

A secondary market has popped up for retail investors who want out of auction-rate securities–now. Are the deals worth it? That depends.

If your mother were to sell you on the stock market today, she would get a lot less for you than she would have five years ago. And it's not just the wrinkles around your eyes, or the waning of your youth. It's ok. The same thing would happen to...

Wall Street’s financial powerhouses have made billions of dollars vanish over the past year.

Hot-Handed Oldie Gets Jail: Eighty-one-year-old former Bayonne, New Jersey financial advisor Louis Cortellessa couldn't keep his gambling habits from corrupting his business or depleting his clients' accounts. A state superior court in Morristown...

Craig has been trading commodities for over 20 years, and has posted long-term annual average returns of around 20 percent. Since April 2006, when he returned to the business after a brief retirement, his annual returns have averaged 23 percent...