Practice

Regardless of how big my firm gets, we can’t lose the entrepreneurial mindset that got us where we are.

Women are earning more, inheriting more and controlling more wealth than ever before. This is a huge market awaiting every financial advisor, if he or she understands some key points about working with female clients.

Instead of converting a traditional IRA to one Roth IRA, convert to two or more Roth IRAs, by asset class or by individual securities.

Here’s why these questionnaires don’t work -- and a better way to assess how much risk a client should take on.

Public pension funds have been moving huge amounts of money into alternative investments managed by Wall Street.

Research conducted over 50 years on judging deception showed that the odds of accurately detecting lies are only “marginally higher” than pure luck.

The SEC is conducting nationwide, "limited scope examinations" of certain mutual funds that invest in Puerto Rico securities, according to a document obtained by The Bond Buyer and knowledgeable sources.

JPMorgan, under siege on multiple fronts by state and federal prosecutors investigating alleged wrongdoing at the largest U.S. bank, is in talks with federal prosecutors in New York to resolve allegations it helped facilitate Bernard Madoff’s crimes.

The most important reason to engage in pro bono work is to help those who are in need of free advice. But pro bono work can also pay off in other ways.

The Securities and Exchange Commission has voted unanimously to propose rules under the JOBS Act allowing companies to offer and sell securities through crowdfunding.