New York's highest court will soon decide whether a brokerage employee can contest the language an employer uses in the Form U5

SEC Busts Another Ponzi: The SEC filed securities fraud charges against Salvatore Favata, the former president of National Consumer Mortgage (NCM), a California company that held itself out as a residential mortgage broker. The complaint alleges...

If a client insists on liquidating part of her portfolio, particularly assets that are heavily concentrated, it's very risky to ignore her request

New York Stock Exchange Regulation says it expects to refer 140 potential insider-trading cases to the SEC in 2006, a 26 percent increase from last year and an 105 percent increase from 2004. Fines for the first half of 2006 are up to $3.2 million...

These days, it's all about open architecture. Money manager Kenneth Fisher is having none of that. Fisher hires reps to gather assets for him to run on a discretionary basis

Interview with Ralph Parks, founder of Ralph Parks Investment Group in Pittsford NY

Market historian and portfolio manager of the Teberg Fund, a fund of funds

Curtis Teberg, market historian, former broker and portfolio manager of the tiny $35 million Teberg Fund in Duluth, Minn., is betting on a monster rally in the stock market during the 15-month midterm election cycle

Alvin Toffler and his wife, Heidi, authors of the classic, Future Shock, argue that economists stink at forecasting, that wealth is moving from the West to the East

A handful of money managers have placed incentive fees on some of their funds, but inherent flaws and an unproven track record are enough to give advisors pause