Mario Gabelli, one of Wall Street's best-known money managers, has been in the spotlight lately, but not for his investment returns. The Justice Department charged him with civil fraud in auctions for wireless telephone licenses. Meantime, two...

Arbitration used to be relatively quick and cheap. Not anymore, and no one - not firms nor lawyers, nor brokers, nor customers - seems to like it. What to do?

UBS has hired a prominent black Smith Barney broker.he move came as UBS was negotiating settlement of a class-action suit brought by two black employees who alleged that the firm has systematically discriminated against blacks

Mob Brokerage Bust: Members of three reputed New York crime families were indicted in late March for alleged involvement in racketeering and extortion in connection with a number of boiler-room stock schemes. In a 73-page federal grand jury...

What's an advisor's obligation when an elderly client wants to liquidate her investment portfolio, which consists entirely of stocks

NASD's baffling approach to Written Supervisory Procedures

For advisors who haven't considered long-term care insurance for their clients, now might be a good time to take a look.

Providing clients going through a divorce with the right insurance can put spouses in a better frame of mind and business in an advisor's book

Independent broker/dealers gathered in “Hot-lanta” at the Buckhead InterContinental Hotel for the SIA’s Second Annual Independent Firms conference on Tuesday, but, despite the beautiful weather, the usual clouds lingered.