Regardless of where you work, or what kind of practice you have, the last nine or 10 months have probably been tough on you and your clients. Of course, some firms have fared better than others, so what better time than now to hear what clients...

Charles Schwab, Fidelity, TD Ameritrade and Pershing will soon have a new and powerful rival to worry about, while the hybrid broker/independent RIA model should get a major boost. The largest independent b/d in the U.S., LPL Financial, announced...

Bank of America Corp. just got about $10 million poorer. Its broker/dealer, Banc of America Investment Services Inc., settled charges today that it failed to disclose that it favored mutual funds affiliated with the firm.

A Partner in an independent firm in Arizona, Paul Ahern wants to hire a few more advisors to help expand the practice. But he's having trouble finding the right recruits. We asked our panel of experts Philip Palaveev, senior manager for Moss Adams...

Alden Cass is a clinical psychologist who specializes in financial-services employees. Below, the Stock Doc speaks. Registered Rep.: In your book, Bullish Thinking, you state there is a problem with depression among financial advisors. Why is that...

Dodge & Cox is not famous for making dramatic contrarian moves. Instead, the company's funds have become popular by following cautious strategies, such as buying securities. But recently Dodge & Cox International Stock announced a change in policy...

Diamonds Aren't Forever The SEC charged 11 people, and three companies, for allegedly conspiring to illegally issue and sell unregistered stock in a diamond and gold company raking in $64 million for themselves from 40,000 investors. The SEC...

Registered Rep: If you weren't an advisor, what could you see yourself doing? Timothy Halls: Teaching. I get to do a lot of that as an advisor, and I love it. RR: Three feelings you want your clients to take away from a meeting? TH: Trust...

Let's take a contrarian viewpoint regarding success. Much has been written about the typical qualities required for success. (In fact, I covered those in this column last month.) But consider a favorite phrase of the great algebraist, Karl Jacobi...

Wall Street Warriors is now casting for its third season, and it's looking for warriors like you. Radius Productions wants four to five men and women in the financial industry to allow cameras, la the Real World, into their offices and their homes...