From the SEC: Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk “The Securities and...

When a broker switches to a new firm, it will be up to clients to find out how big a bonus that broker is getting for making a move,...

Yesterday the National American Securities Association announced that it has formed a working group meant to improve broker-dealer fee...

The US Securities and Exchange Commission wants to make it a little harder for brokers to remove marks from their public records after...

Following are a few things the SEC wants investors to know: “Checking the background of an investment professional is easy and free. ...