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Investment Advisor May 2007	The Original SEC Rule The Security and Exchange Commission's original decision on the broker/dealer exemption rule exempting brokers from regulation as an investment advisor even when they were being paid fees for investment advice.
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 March 17, 2009 Dan Caplinger	A Surprising Way to Improve Your Investing When you're looking for a doctor or a lawyer, you focus not just on professional qualifications and expertise, but you also want someone who will fit well with your personality. The same holds true with picking a broker.
The Motley Fool August 2, 2005 Selena Maranjian	Questions to Ask Your Broker You may be surprised at how your broker makes his money. Here are some important questions to ask your broker or financial advisor, as not all financial professionals operate by the same rules.
The Motley Fool March 5, 2009 Dan Caplinger	Stop Paying for Big Losses What's your advisor done for you lately?
The Motley Fool October 30, 2009 Dan Caplinger	Why Government "Help" Could Become Your Next Nightmare The government wants brokers and other financial professionals to act in their clients' best interest, but if you're a client, you might well be much happier keeping things exactly the way they are now.
The Motley Fool September 27, 2010 Dan Caplinger	Rich or Not, You Should Do This Discount brokers are great even if you have the money.
Registered Rep. March 1, 2005 Mindy Diamond	Don't Be Dazzled by Prestige Names But just as Harvard is not the best place for every high school valedictorian, private client groups at Goldman Sachs or JP Morgan are not always the best places for an advisor focused on ultra-high-net-worth clients.
The Motley Fool October 20, 2011	Exactly Why Your Broker May Be Dangerous Be careful out there, because the broker you choose may have an agenda.
The Motley Fool April 26, 2004 Selena Maranjian	Spitzer Eyes Insurance Unethical or illegal conflicts of interest amongst major insurance brokers and providers could be costing consumers.
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 December 8, 2006	Questions to Ask Your Broker Here is some good advice regarding questions you might want to ask your broker before handing over your hard-earned cash. Make sure you get the right answers before you start investing.
On Wall Street December 1, 2009 Mark Astarita	Brokers as Fiduciaries -- Much Ado About Nothing There is a battle cry to place a fiduciary obligation on retail brokers. But the real question is: What difference will it really make?
The Motley Fool March 12, 2004	Discount vs. Full-Price Brokers Why should you pay 10 times more for a stock trade?
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.
The Motley Fool May 20, 2004 Tim Beyers	American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest?
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.
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. 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.
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 August 12, 2004	Understanding Mortgage Brokers For many people, the best way to get a mortgage is through a broker.
Investment Advisor August 2008	Do You Believe Your Own Rhetoric? Many breakaway brokers spend more time designing a logo and picking out office furniture than they do planning their exit strategy.
Registered Rep. December 1, 2005 Kristen French	Morgan Stanley: Tomorrow Is Another Day In this survey, the management upheaval and culling of broker ranks shows in the grades Morgan brokers give their firm.
Registered Rep. February 1, 2006 Mindy Diamond	Passion Pays Superstar brokers are receiving unimaginable compensation to switch firms. But don't expect managers to throw money at just any advisor with great production numbers.
The Motley Fool March 17, 2009 Morgan Housel	Who's More to Blame: The American Consumer or Wall Street? March Madness series: Wall Street says it's the fault of the American consumer, who was greedy and irresponsible. On the other hand, there's never been a time when Wall Street's complexity has exploded so while risk was completely ignored.
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.
Investment Advisor September 2009 James J. Green	How the Representatives Voted The year 2009 marked the 19th time that Investment Advisor asked its readers who are representatives of independent broker/dealers to rank their own B/Ds on 14 discrete categories, along with an overall rating.
Registered Rep. June 7, 2011 Diana Britton	Advisor Group in Talks to Acquire Smaller B/D Independent broker/dealer network Advisor Group is talking to a number of small and mid-sized broker/dealers that the company would consider purchasing.
The Motley Fool October 7, 2004 Robert Brokamp	Financial Predators Does your financial advisor care more about your retirement, or his? Look for a broker with whom you can trust and has beat a relevant benchmark after fees and taxes over a three-year period.
Registered Rep. August 29, 2014 Mindy Diamond	Ten Years of Myths and Moving Why advisors need to purge common "myths" from their thinking about changing jobs.
Financial Advisor July 2012 Jim McConville	RIAs Catching Up To Brokers In Compensation The compensation gap dividing elite independent advisors and top Wall Street brokers is closing, according to new research.
The Motley Fool March 20, 2008 Rich Smith	Banks Gone 'Rupt What can you do to protect yourself from a potential bankruptcy of your bank?
Investment Advisor August 2005 Mark Tibergien	Formulas for Success: Independence Day There is a growing trend toward registered reps moving out of the wirehouse environment -- a trend invisible to most, but obvious to the country's leading custodians: they are actively wooing breakaway brokers.
Registered Rep. November 30, 2005 Kristen French	Wachovia Shaves Payout, Levels Charges on In-House and Outside SMAs After simplifying it's payout structure earlier this year, Wachovia Securities announced that it would make some more tweaks in 2006 and raise ticket charges on some in-house money-management products to match those of third-party products.
The Motley Fool January 10, 2006 Rich Smith	The World's Best Broker By quoting companies' minute-by-minute price movements, brokers play on your emotions and encourage you to trade more often. It's a strategy calculated to enrich the broker -- not you. Still, there's no rule that compels you to play this game.
Registered Rep. April 16, 2012 Jerry Gleeson	Schwab RIA Unit Sees "Consistent" Growth Schwab Advisor Services is signing up advisor assets at a pace that tracks its historical average.
Registered Rep. May 26, 2006 Halah Touryalai	NYSE Cautions Investors on Following Brokers to New Firms The release is part of the "Informed Investor" series developed by the NYSE Regulation to better educate investors. The announcement comes at a time when more reps are choosing to switch firms than at any time since 2002.
The Motley Fool March 22, 2011 Dan Caplinger	This Will Make You a Smarter Investor There's more to smart money management than just picking great stocks. Increasingly, it's becoming just as important to find the right discount broker to give you the best and least expensive access to the investments you want.
The Motley Fool August 5, 2005	A Buyer Broker Can Help You Not all real estate brokers have your best interest at heart -- be choosy.
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.
Investment Advisor September 2005 Kathleen M. McBride	Happy Brokers New Broker Sentiment Index finds personal contentment and market optimism.
Registered Rep. January 1, 2003 Nicholas Ferber	Switching Has Changed During trying times like these, many reps are looking to switch jobs. When pondering a move, no question occupies more time or discussion between brokers, hiring managers and (sometimes) recruiters than the following: "What's in it for me?"
The Motley Fool September 9, 2011 Dan Caplinger	What You Really Need From Your Broker Don't obsess about the wrong things. Stick with what's important.
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 January 2007 David Lawrence	First Steps Here are useful guidelines for wirehouse brokers migrating to the independent world.
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.
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?
CFO March 1, 2010 David M. Katz	Is Your Broker Mediocre? It may be a buyer's market, but choosing the best broker is far from easy.
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.
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.