This week, Kevin Matras looks at sales growth and increasing profit margins—a powerful combination for big returns. Learn more, and get 3 new stock picks.
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On Nov. 5, when SEC Chairman William Donaldson addressed the Securities Industry Association's annual meeting in Boca Raton, Fla., it was an uncomfortable...
Bank of America Corp. just got about $10 million poorer. Its broker/dealer, Banc of America Investment Services Inc., settled charges today that it failed to disclose that it favored mutual funds affiliated with the firm. ...
Seminar Scammers Busted The SEC has filed civil fraud charges against Linda Woolf and David Gengler, promoters of Teach Me to Trade (TMTT) classes, mentoring...
Playing hopscotch from one firm to another, without losing all of your clients, may soon get a little easier. That is, if the SEC's proposed amendment...
Just over a year ago, fee-based brokerage accounts got the ax when the Financial Planning Association (FPA) successfully sued the SEC to overturn the...
Consider the Curious and Rather Grotesque Case of Gary J. Gross, a financial advisor from (where else?) Boca Raton, Fla. Gross' U4 is close to 100 pages...
Raising five kids in any U.S. metro area means big bucks if you want the best in education a challenge well known to one affluent family who faced a total...
Drinking and driving is a very bad idea for a lot of reasons. But did you know how bad it can be for your job? If you have between two and five prior...
Strippers, Guns N' Money: The SEC filed a civil action recently against five unregistered Florida brokers who were operating a pump-and-dump scheme out...
The SEC voted in February to propose changes to the structure of the Form ADV, the disclosure document that all investment advisors must complete. Instead...
One more time: Retail investors your clients are confused about the definition of a financial advisor. That is, they don't understand the difference between...
Top advisors know that there is an uneasy balance between helping their clients and protecting themselves. The reality is that providing a high level...
Sometimes the weight of world comes crashing down around your shoulders. I suspect that's how registered representative Jason N. Slezak, his assistant...
What to do with the securities industry's Depression-era regulations that have investors confused over the difference between a registered investment...
Too Much Volume: The Financial Industry Regulatory Authority (FINRA) fined 19 broker/dealers in January a total of $2.8 million for substantially overstating...
Depending upon who you listen to, we are either in a recession, or one is gathering on the horizon. (The Fed's Beige Book says no recession just slower...
Are closed-end fund preferred-auction securities safe? We consider CFPs to be the conservative's conservative security. Defaults are even rarer than failed...
Wall Streets Bull and How to Bear It
"There are two requirements for success in Wall Street. One, you have to think correctly; and secondly, you have to think independently." - Benjamin Graham. "Wall Street's Bull and How to Bear It" was written to encourage a strong commitment between investment advisors and their clients. The book identifies a unified set of core beliefs that advisors and their clients should share....
