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Registered Rep. August 18, 2004 Will Leitch	SEC Unanimously Votes to Ban Directed Brokerage The 5-0 vote surprised few. Perhaps more worrisome was the call for comment on overhauling or banning outright 12b-1 fees, which were described as disguised commissions.
Registered Rep. August 30, 2006 David A. Geracioti	American Funds Slapped Today, an NASD Hearing Panel fined American Funds Distributors, the principal underwriter and distributor of the shares of the American Fund family, for directed brokerage.
Registered Rep. September 1, 2004 Will Leitch	Directed Brokerage Goes Down for the Count The first target has been hit: Directed brokerage is no more, and 12b-1 fees might be in more danger than had been thought.
The Motley Fool August 8, 2006 Selena Maranjian	Business Booming for Brokerages There's another way to make money off brokerages -- by investing in them. In recent months, business has been brisk at many brokerages, judging by quarterly reports.
Registered Rep. March 15, 2013 Megan Leonhardt	A "Tougher" FINRA? FINRA has stepped up the number of cases and the value of fines they levied against advisors last year, but that doesn't neccessarily mean that the indstury's self-regulatory organization is getting any tougher.
The Motley Fool October 9, 2007 Selena Maranjian	Invest Virtually -- via Your Brokerage Some brokerages now offer you the ability to invest virtually, essentially managing a mock portfolio. This can be a great way to try out various strategies, or just to get used to your brokerage's trading platform and formats.
Registered Rep. February 18, 2004 John Churchill	SEC Puts Forth Mutual Fund Rules Proposals The SEC has put forth three proposals that could drastically change the way mutual funds are sold.
The Motley Fool December 26, 2006 Selena Maranjian	Kiss Your Brokerage Goodbye If you're fed up with your brokerage and don't like having to pay that commission every time you buy or sell a stock or mutual fund, know that you have some choices.
The Motley Fool September 17, 2004 Selena Maranjian	Brokerage Statement Bewilderment You don't have to be flummoxed by your financial statements.
The Motley Fool January 5, 2007 Selena Maranjian	Brokerage Questions for Beginners Know what to ask before you start investing.
The Motley Fool March 7, 2006	Brokerage Account Insurance Investors, don't count on SIPC insurance if your stocks plunge.
Registered Rep. February 17, 2005 John Churchill	NASD Charges American Funds with Directed Brokerage Violation Saying it's just as impermissible to make directed brokerage payments as it is to receive them, the NASD charged American Funds---one of the country's most reputable asset managers---with paying kickbacks to brokerages for selling its funds.
The Motley Fool May 31, 2005 Selena Maranjian	Think Twice About Chinese Brokerages America's brokerages offer more protection for investors.
The Motley Fool November 14, 2006 Selena Maranjian	How Steep Are Some Brokerage Fees? Investors, make sure you do your homework before you choose a broker.
The Motley Fool December 31, 2003	Choose the Right Broker What should you consider when comparing brokerages?
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 March 17, 2005	60 Seconds to a Brokerage Account Five simple steps to choosing and setting up a brokerage account.
Registered Rep. October 6, 2011 Andrew J. Haigney	Opinion: FINRA Is an Ineffective Regulator FINRA, the brokerage industry's self-regulatory organization, finds itself in caught up in the industry's death spiral. This non-government, private corporation's fortunes are tied to brokerage firms.
Investment Advisor March 2009 Melanie Waddell	When It Pays to Fight City Hall An annual analysis of litigated disciplinary proceedings brought by the SEC and FINRA against broker/dealers and registered representatives shows that it sometimes pays for B/Ds and reps to litigate against the regulators.
The Motley Fool July 13, 2004	Finding the Best Brokerage There might be a cheaper, better brokerage than the one you're using.
The Motley Fool December 13, 2004	Free Checking May Not Be Free It's hard to find fault with free checking, but when you combine it with a bank's other fees and features, the advantage may be outweighed by disadvantages.
The Motley Fool February 21, 2008 Selena Maranjian	Cash In at Your Brokerage Think about what you really need when you're shopping for a new broker. Read on for our list of things you might consider.
Entrepreneur January 2007 Scott Bernard Nelson	Free for All Brokerages offering free stock trades are nothing new, but thanks to one online upstart, the concept just might take flight.
The Motley Fool January 18, 2011 Selena Maranjian	Protect Yourself From Your Brokerage When you invest in stocks, you accept some risk. Your stocks may drop in value, shrinking your investment. That kind of risk is unavoidable, but other brokerage-related risks are not.
The Motley Fool November 7, 2007 Selena Maranjian	Find the Fastest Broker Sites Does your brokerage handle orders lickety-split? When shopping for a new brokerage, consider their fees, their selection of funds, and also, their efficiency.
Registered Rep. September 14, 2011 Andrew J. Haigney	Opinion: FINRA's Land Grab Provisions of the Dodd-Frank Act are effectively forcing brokerage firms to convert their retail operations to the investment advisory model. But brokers need not worry, it looks like "the fix is in."
The Motley Fool March 5, 2007 Selena Maranjian	Is Your Brokerage Insured? Brokerage firms are required to become members of the Securities Investor Protection Corporation. Is yours insured?
The Motley Fool November 21, 2007 Selena Maranjian	Online Investors and Brokerages The results are in for the J.D. Power and Associates 2007 Online Investor Satisfaction Study. Read on to see which brokerages got top marks for customer satisfaction.
The Motley Fool June 1, 2006 Selena Maranjian	The Best Brokerages for Mutual Funds Mutual fund investing can be unnecessarily expensive at some brokerages.
Wall Street & Technology January 23, 2007	Who Says Security Is Important? Despite its marketability, customer information security surprisingly does not provide a significant competitive advantage among online brokerages.
The Motley Fool February 26, 2009 Selena Maranjian	The Upside of Broker Fees The more frequently you trade, the more you'll pay your broker in commission fees. But many people may not know that factoring in the cost of those commissions can reduce your capital gains -- and cut the taxes you owe.
The Motley Fool July 19, 2006 Selena Maranjian	Find the Right Broker When it comes to handling your investments, one size doesn't fit all. Shop around.
The Motley Fool July 2, 2007 Selena Maranjian	Declare Independence From Your Broker You don't need to be a genius to improve your portfolio's performance, and the best way to do so may involve casting off the shackles of your current brokerage.
The Motley Fool December 17, 2003	Investigate Your Broker How to check on your stockbroker, to see if he's gotten in hot water in the past.
The Motley Fool April 11, 2011 Selena Maranjian	Keep This Crippling Cost Below 2% Unless you like spending months or years in the red, avoid racking up commission fees.
The Motley Fool September 1, 2005 Selena Maranjian	Brokerage Fees: Low or High? It can be a little more complicated than you might expect to find the best brokerage for yourself. You can get poorer if you're not rich enough.
The Motley Fool August 25, 2005 Selena Maranjian	Should Brokers Get Overtime Pay? Commissions. That's an important word to consider when you think about how your broker may be serving you. For most investors, a solid online brokerage with low fees and a broad range of services is all one needs.
The Motley Fool April 5, 2004	60 Seconds to Your First Trade Details on finding, opening, and funding a discount brokerage account.
The Motley Fool January 10, 2006	Compare Brokerages and Find the Best for You Here are some things you should consider when comparing brokerages and choosing one.
The Motley Fool November 22, 2006	Is Your Brokerage Insured? Investors looking for brokers should do a little research on insurance first.
Wall Street & Technology April 26, 2007	Online Brokerage Customers Can Be Fickle More Than 20 Percent of Online Brokerage Users Are Considering Changing Brokers Online brokerage tools play a significant factor in retaining existing clients, a new report notes.
The Motley Fool June 15, 2007 Selena Maranjian	Brokerages Want You to Know ... Get the latest scoop from brokerages and choose the best.
The Motley Fool April 8, 2010 Selena Maranjian	Big Brokerages Can Still Be Trouble Though times have changed, some things remain the same.
The Motley Fool August 21, 2007 Selena Maranjian	Find the Best Broker Looking for an inexpensive brokerage that reinvests dividends? Here is some help.
The Motley Fool September 15, 2004 Selena Maranjian	Free Research From Brokerages A little shopping around can yield lots of free stock research.
BusinessWeek November 19, 2007 Anne Tergesen	Should You Buy from an Adviser? Brokerage firms may have incentives to push securities in their inventories.
The Motley Fool February 17, 2006 Selena Maranjian	Brokerages Circumventing Falling Fees Some SMAs might serve some investors well, but study your options carefully before signing up.
Registered Rep. October 19, 2007 Karen Donovan	Don't Settle With Regulators--Litigate, Says Sutherland Et Al. (That Figures, Regulators Retort: Lawyers Would Say That) You may lose in arbitration, but the punishment may be less than you would have received in a settlement.
Registered Rep. April 1, 2008 John Churchill	The Failure Chain Consider the curious and rather grotesque case of Gary J. Gross, a financial advisor from Boca Raton, Fla. Gross' U4 is close to 100 pages long, and lists 35 customer complaints.
The Motley Fool October 13, 2006 Mary Dalrymple	Free Trade at Bank of America? The megabank offers no-fee stock trades.