Practice

Helping clients understand casualty loss rules following an unexpected tragedy.

In this circus of an industry, what chance does an average investor have of finding somebody who will actually work on his or her behalf?

At first glance, it seems the more they give, the less you have to manage. But providing clients with robust charitable giving strategies can return more than you realize.

Clients can often retire smoothly even during a downturn if they diversify and rebalance their portfolios properly, as well as pay off debts and maximize their Social Security benefits.

The regulator accuses her of misconduct; she says the agency is doing Morgan Stanley’s bidding.

Tim Sloan is finishing a year in which the Federal Reserve told the bank to stop growing, scandals emerged in more divisions, and the stock tumbled 25%.

Wall Street’s main regulator has made ADR sales a focus of its enforcement efforts.

The alleged supervisory lapses occurred over a five-year period, according to the regulator.

The certification could stop being the gold standard and become the requirement, if only the regulatory path were clearer.

Clients intending to set up a bank account or mutual fund for their child must consider various provisions.