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Commercial Investment Real Estate May/Jun 2015 Sean E. Ponist	Going to the Source By attributing the source of the information, an agent or broker can avoid, or at least attempt to avoid, liability for any unintentional errors in information passed along.
Registered Rep. January 1, 2005 Mindy Diamond	A Clean Escape, With an Accomplice Brokers tempted to leap at a lucrative job at another firm are often held back by inertia, but in increasing numbers they are finding the powerful force they need to get moving: hungry branch managers.
Registered Rep. December 1, 2004 Mindy Diamond	Packing the Parachute Success in the brokerage industry can be as much about mindset as anything else, so it comes as little surprise that advisors avoid negative thoughts, such as the potential necessity of a quick exit from their practice.
Registered Rep. October 1, 2002 Jonathan P. Arfa	First, Hire the Lawyers With heavy investor losses, customer claims filed with the NYSE and the NASD are expected to hit an all-time high in 2002. What should a broker do if they are the target of a complaint?
Registered Rep. February 2, 2006 Kristen French	Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest.
The Motley Fool December 22, 2004 Selena Maranjian	Should You Switch Brokers? The brokerage you're using may not best serve your needs.
Registered Rep. January 1, 2003 Jonathan P. Arfa	Do-It-Yourself Arbitration When a rep is laid off or changes firms, there's often a disagreement about how much she is due for her final months of work.
Registered Rep. May 1, 2005 Mindy Diamond	What About Your Retirement? Brokers often take a shortsighted view of their careers, and this usually turns an effort to convince them to think about their own retirements into an uphill battle.
The Motley Fool February 8, 2007 Selena Maranjian	Selecting a Listing Agent You're ready to sell your home. Your first task is to choose a real estate agent.
IndustryWeek April 1, 2008 David Blanchard	The Five Myths of Import Compliance The importer is ultimately responsible for the goods that enter a country.
The Motley Fool February 6, 2008 Mary Dalrymple	Marry a Broker You shouldn't settle for a broker just because of cheap rates. Look beyond the trading commissions and commit to a broker for the long haul.
Registered Rep. June 1, 2005 Mindy Diamond	Don't Be Afraid to Go for It Openness to switching firms is essential if a broker wants to take advantage of an industry that can, and will, provide brokers with opportunities to capitalize on a lifetime of hard work.
Investment Advisor June 2008 Philip Palaveev	The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive.
Financial Advisor December 2005 Harold Evensky	Unintended Consequences Brokers must forego the bells and whistles accompanying much of the current planning software if they wish to avoid having to register as investment advisors; however, that should not prevent them from appropriately using these analytics in arriving at suitable recommendations for their clients.
Investment Advisor July 2009 Jonathan Henschen	Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way.
The Motley Fool October 27, 2009 Dan Caplinger	How You Can Become the Next Super-Investor Get the tools you need to succeed with your investments.
The Motley Fool March 24, 2004 Selena Maranjian	How to Open a Brokerage Account When you're ready to invest, you can do so easily. Tips on how to open a brokerage account.
The Motley Fool March 5, 2004 Selena Maranjian	What Stockbrokers Really Do Brokers are agents who take and fill your orders to buy and sell stocks and other securities. A former broker revealed to us how he was trained and under what conditions brokers often work.
Registered Rep. June 3, 2011 Diana Britton	Another IBD Implodes, Victim to Private Placement Claims Independent broker/dealer Harrison Douglas Inc. has filed with the Financial Industry Regulatory Authority and the Securities and Exchange Commission to terminate its registrations and close the firm.
The Motley Fool March 5, 2004	Cheap Trades Here! A big part of how brokers compete is through price-per-trade. And while cost is a factor -- particularly for more frequent traders -- it should not be your only guidepost. Investment selection and services should be tops on your broker search list.
The Motley Fool November 14, 2008 Rick Aristotle Munarriz	Schwab Gets the Job Done Schwab's October 2008 volume was 56% ahead of last October. In addition, the discount broker attracted 91,000 new accounts.
ifeminists May 27, 2003 Wendy McElroy	The Value of Error Jayson Blair's fabrication of "news" stories for the New York Times has made life more difficult for journalists and commentators who make honest mistakes.
Registered Rep. May 1, 2006 Mindy Diamond	What Women Want Money counts, of course, but beyond the basic financial-package considerations, female financial advisors are looking for a compatible culture, flexibility and independence.
Registered Rep. March 1, 2003 David A. Geracioti	In the Crosshairs An army of lawyers are about ready to file suits on behalf of aggrieved retail investors who claim to have lost money because of the conflict-of-interest scandal.
The Motley Fool May 13, 2004 Dayana Yochim	Find a Match for Your Money The right relationship is everything. How to get the right fit for your financial needs -- choosing a financial advisor and a broker.
The Motley Fool January 5, 2007 Selena Maranjian	Brokerage Questions for Beginners Know what to ask before you start investing.
The Motley Fool September 23, 2005 Roy Lewis	Privately Stocking Your IRA You can add non-publicly traded companies' shares to your IRA -- but you may not want to.
The Motley Fool April 19, 2005 Dayana Yochim	Matchmaker, Matchmaker? Money isn't everything when finding a mate... or a financial advisor. When it comes to non-face-to-face financial products like an online brokerage account, you'll have to do a bit of soul searching.
Registered Rep. March 27, 2006 Kristen French	SEC Targets Investment Traps Set For Seniors The move against the "free lunch," as they are generally called, is part of a larger initiative launched to protect senior citizens from investment scams and unsuitable recommendations.
Investment Advisor February 2009 Thomas D. Giachetti	The Skinny on the Protocol The law is fairly clear that a departing advisor should not bring any customer information to a new employer.
The Motley Fool February 19, 2004 Dayana Yochim	Come Trade With Me Brokers want your business and a few are casting out some interesting bait, but is it worth it?
The Motley Fool May 11, 2011 Selena Maranjian	Sneak a Peek at Your Broker's Record Find out whether your broker has been in trouble.
The Motley Fool February 25, 2009 Dan Caplinger	Start Investing and Earn an Extra Bonus If you're looking for a new broker in today's sophisticated financial world, you really should think about finding one with bells and whistles that open up a range of investments.
Job Journal July 18, 2010	Quick Fix: 7 Rookie Mistakes Recent new grads entering the job market should be cautious of these common pitfalls.
The Motley Fool October 24, 2005 Mike Cianciolo	E*Trade Trades Up The online broker is growing in size and performance. Here's an appealing option for those who want to invest through an online broker and to invest in an online broker, as well.
AskMen.com Michael Estrin	8 More Stock Market Mistakes Investors Make The truth is, all people make mistakes with their money. But what separates the winners from the losers are those who can apply what they've learned.
The Motley Fool June 10, 2004 Selena Maranjian	Profiting From My Mistakes If you want to make a profit, then do as I say, not as I've done. The author has been investing for a decade now, and she's made her share of missteps along the way. Take time to learn from her mistakes so you can avoid the same pitfalls.
The Motley Fool August 30, 2007 Selena Maranjian	A Better Way to Check Your Broker? A former SEC guy is aiming to help you steer clear of ne'er-do-wells. Meanwhile, make sure that the brokerage you're using is best for your needs. Odds are, you can find a better brokerage that charges you less or offers more services.
Registered Rep. October 1, 2004 Nick Ferber	Sunny Days In the interest of arming financial advisors with all they need to assess broker acquisition packages, here is a guide to deciding when it is mathematically justified to make a change.
Investment Advisor November 2006 James J. Green	On the Frontier Financial planner and investment consultant Percy Bolton says planners should clean up the 401(k) arena.
The Motley Fool February 17, 2006	Choosing a Real Estate Agent How should you go about choosing a real estate broker or agent? Don't just sign up with the one who promises you the highest price for your house. Here are a few tips.
Registered Rep. April 27, 2011 Diana Britton	Poll: Do Recruiters Promise Too Much? A former Raymond James advisor recently filed suit against the broker/dealer claiming an internal recruiter misrepresented the support, technology and compensation the firm could deliver.
Registered Rep. December 9, 2003 John Churchill	Following the Money Trail It's a testament to the increasing complexity of the advisory business: Many advisors -- people whose very living depends on their ability to track the ebbs and flows of money -- are having trouble understanding whether they're being paid correctly by their own firms.
Registered Rep. March 1, 2003 Steve Testerman	The Hiring Drought Might Be Ending With so many laid-off securities workers still looking for new employment, the burning question is: "When is it going to get better?" A recent survey by BrokerHunter.com offers some clues. It's good news if you're a retail broker; if you're a sales assistant of a retail broker, not so much.
The Motley Fool January 7, 2010 Rick Aristotle Munarriz	Pay Less for Your Stock Trades Schwab slashes its equity commissions.
The Motley Fool January 19, 2010 Dan Caplinger	The Wrong Thing to Do With Your Money Schwab's new initiative moves in the wrong direction.
Registered Rep. January 1, 2005 Brittany Quaid	Where Ethics Don't Exist Fee-based arrangements are not right for all clients, and it's unethical (and illegal) to advise unsuitable clients to convert to them.
The Motley Fool March 26, 2004 Rick Aristotle Munarriz	Coup d'E*Trade Online broker goes for speedy executions and finds itself on the fast track.
The Motley Fool April 26, 2004	Stocks From the Attic Are your decades' old stock certificates worth anything? There are enough lost treasures out there to make it worthwhile to check them out.
Investment Advisor October 2009 Melanie Waddell	B/Ds Warned on Recruiting SEC Chairman Mary Schapiro sent a letter to broker/dealer CEOs, reminding them of their supervisory obligations under federal securities laws.