Roy M. Adams is a prominent estate planning attorney who teaches other practitioners. Yet anyone can use his Contemporary Estate Planning: A Definitive Guide to Planning and Practice. Adams starts each chapter with the basics, explaining with...

When I sat down to write this column, the deadline for paying taxes was looming and a meeting with Felix Aisen, my CPA, was fast approaching. This time of year always reminds me how much faith I put in Felix and highlights how much potential CPAs...

Canadian brokerage firms will soon have to file quarterly reports disclosing to the national regulator certain types of client complaints. It’s about being “more proactive and transparent” to investors, says Joe Oliver, president...

Former A.G. Edwards broker Jimmy Lindsey and his brother Randy won a $150,000 judgment against the St. Louis-based firm, according to an NYSE arbitration case. A.G Edwards was ordered to wipe out a $128,571 debit claim against the Lindsey’s...

A.G. Edwards today rolled out its broker home pages. Reps are able to include personal and business information on the sites, as well as customize them for specific clients, according to Mike Flood, the firm’s vice president and manager of...

Jan. 30, 2001 Morgan Stanley Dean Witter reps aren’t too phased by loss of the Dean Witter name.The firm plans to drop "Dean Witter" from its name, erasing the 76-year-old brand four years after the merger that created the biggest U.S...

Jan. 16, 2001 In a speech tonight at an investor "town hall" meeting in Philadelphia, SEC Chairman Arthur Levitt Jr. continued to chastise brokers and the industry, and warned the attendees to assert their rights. "Both in the private sector...

Jan. 26, 2001 Merrill Lynch is selling Herzog Heine Geduld's retail brokerage business, giving up the 50 retail producers the firm acquired when it announced it was buying HHG in June 2000. According to Merrill spokesperson Eddie Reeves, the...