For the first time, high-net-worth individuals are ranking the risk of unforeseen health care costs wiping out their accumulated assets as their top financial concern,

PIPE financings are on a tear this year.

A look at some of the choicer schemes that have blackened the market

Mandatory arbitration isn't just bad for your clients. It's bad for you too.

Your firm holds all the cards in determining how much of a promissory note you have to pay if you leave before its term is up

When a client passes away you are still obligated to act in his best interest. If you don't, you may wind up wishing you could join them.

After more than a decade of discussion, the SEC has finally issued guidance on the controversial fate of soft dollars.

Wachovia Self-Dealing Suit; Merrill Fined for Firing Rep

There is a feeling among employees of small broker/dealers that regulators have it out for them. Some small b/ds (defined as fewer than 100 reps) won't go so far as to say regulators want to drive them out of business on purpose, but agree that...