The Expungement Crusade 

Nov 1, 2007,

BY KAREN DONOVAN

Wall Street Breathed a Sigh of Relief when Eliot Spitzer moved into the governor's mansion in Albany. Word was that Andrew Cuomo, New York's newly elected...

Moving Markets: Robert W. Baird 

Nov 1, 2007,

Christina Mucciolo

Here's one way to evaluate equity research: Measure the impact it has on stock prices. Bespoke Investment Group, a financial research firm, did just that,...

Stifel Who? 

Nov 1, 2007,

BY JOHN CHURCHILL

Takeover bait. It's a description most regional brokerage firms have become accustomed to and for good reason. Several have been gobbled up over the years,...

No Pain, No Gain 

Nov 1, 2007,

By Brad Zigler

Most clients wouldn't question the superiority of a 10-percent return over a 5 percent one. Or would they? For some accounts, it's not so much where they...

Show Us (Less) Money! 

Nov 1, 2007,

John Churchill

How much corporate bigwigs get paid is a hot topic this political season, as the gap between the rich and the poor has reached its widest point in 60...

Growth Investing, Bloodlessly 

Nov 1, 2007,

By Jonathan Moreland

Ah, the benign indifference of numbers. If only we could regard them with a cold heart. Nearly every professional money manager claims that he does, that...

Wealth Management Elite 

Nov 1, 2007,

Halah Touryalai

Everybody says they offer wealth management these days. But do they? Not really, says research and consulting group CEG Worldwide. Wealth managers use...

Charles Schwab Kicking Ass(ets) 

Nov 1, 2007,

By John Churchill

Wall Street Brokerage Giants like Merrill Lynch may not see Charles Schwab as a big threat, but the firm has come a very long way from its scrappy upstart...

Do-It-Yourself Broker/Dealer 

Nov 1, 2007,

By Halah Touryalai

By now, advisors have been bombarded with talk of going independent. It's a phrase that is regularly circulated in the hallways and offices of wirehouses...

Wish List: Financial Makeover 

Nov 1, 2007,

Kristen French

A regal room, the perfect suit, a six-pack or an unassailable nest egg? Lucky for you, most people want the last thing on that list the most. At least,...

Always A Woman 

Nov 1, 2007,

John Churchill

Is your revenue production down? Not bringing in those million dollar accounts? Maybe your branch manager has threatened to move you to some backwater...

Comings & Goings 

Nov 1, 2007,

Halah Touryalai

Randall W. Epright has been appointed executive vice president and chief operating officer of AIG Advisor Group, and senior vice president of Operations...

The Retirement Savings Heretics 

Nov 1, 2007,

BY DAVID ADLER

How Much Money Will I Need in Retirement? What's the number? Ask any financial advisor and he will offer you this rule of thumb: To live in retirement...

Boris Schlossberg 

Nov 1, 2007,

Kristen French

Registered Rep. spoke with Boris Schlossberg about the dollar's recent decline. Registered Rep.: What are the major reasons behind the weakness in the...

UBS Earnings Bomb 

Oct 31, 2007,

By John Churchill

Swiss banking giant UBS joined Merrill Lynch at the bottom of the credit related write-down pile with the release of its earnings Tuesday...

A Nice Retirement? Could Have Been Better 

Oct 30, 2007,

By David Geracioti

Merrill Lynch won’t be paying Stan O’Neal a bonus or severance package, the company announced in it’s Form 8-K filed today...

Impact This! Schwabbies Descend Upon Vegas 

Oct 30, 2007,

By Halah Touryalai

They didn't get to "Talk to Chuck," but attendees of the 2007 Schwab IMPACT conference did get a chance to talk to Walt Bettinger, president and chief operating officer, as well as Charles Goldman...

O’Neal Gone: Reps Apathetic, Analysts Say Get Back To Basics 

Oct 30, 2007,

By Christina Mucciolo

Stan O’Neal was allowed to retire it was announced today, after 21 years at the company, the last five as CEO. Alberto Cribiore, a member of the board and founder of Brera...

O’Neal Rumored To Be On the Chopping Block 

Oct 26, 2007,

By David Geracioti

Apparently Merrill Lynch has been gorging itself on risk. And, it may cost CEO Stan O’Neal his job, according to Charles Gasparino on CNBC’s website today...

Bonus Time on Wall Street is Bonus Time For NYC Realtors 

Oct 25, 2007,

By Christina Mucciolo

Wall Street bonuses and their effects on the sale of luxury apartments in Manhattan? Said to be like the moon and the tide. The Wall Street bonus season reached record heights...

Merrill Earnings Ugly, But Brokerage Is The Sweet Spot 

Oct 24, 2007,

By John Churchill

Stan O’Neal opened Merrill Lynch’s earnings call by not beating around the bush: The firm had a net loss of $2.3 billion, due largely in part from $7.9 billion in write-downs related to exposure to sub-prime mortgages and collateralized debt obligations (CDOs)....

Pre-Earnings Whisper Not Good for Merrill 

Oct 23, 2007,

By John Churchill

By announcing the likelihood of a multibillion-dollar write-down in its third quarter a few weeks ago, Merrill Lynch prepared investors for dismal earnings. One day before their release, just how bad those earnings will be is fueling the rumor mill....

A Sweeter Deal 

Oct 1, 2007,

By Kristen French

Sallie Krawcheck and Charlie Johnston are pressing all the right buttons, and Smith Barney financial advisors seem to be responding well. Sure, the firm's...

A House of Pain 

Oct 1, 2007,

By David A. Geracioti

The curious thing about a bubble is, when it bursts, you can't believe people actually behaved the way they did. (Remember, in the late 1990s, backing...

Getting a Thumbs Up From the Wealthy 

Oct 1, 2007,

By Matt Oechsli

Think for a moment about your affluent clients and their centers-of-influence. As you scroll through these images in the theater of your mind, try to...

On the Rise 

Oct 1, 2007,

By Halah Touryalai

In its fall 2005 debut on the New York Stock Exchange as an independent company, Wall Street had little enthusiasm for Ameriprise Financial. Its shares...

Kevin Buzek 

Oct 1, 2007,

Christina Mucciolo

Cleveland native Kevin Buzek has no problem speaking up, and it's a good thing his advisor and father, Ken Buzek, listens. Kevin started working as an...

Dealmaker or Penny Stock Tout? 

Oct 1, 2007,

By John Churchill

Don't call Mark Beloyan a penny stock tout. Sure, Beloyan speculates in low-priced securities. And, yes, his book is built around trading and finding...

Joni Elliot 

Oct 1, 2007,

Kristen French

Joni Elliot decided that her career came first When vacationing with her boss Scott Magnesen's wife 12 years ago in Desert Springs, Calif., she met her...

Getting Help On Compliance 

Oct 1, 2007,

By Christopher O'Leary

Last year, Robert Isbitts, who runs Weston, Fla.-based RIA Emerald Asset Advisors, decided he had to take drastic action. Legal and regulatory compliance...

A Day Without a Sales Assistant 

Oct 1, 2007,

By Christina Mucciolo

After speaking with scores and scores of licensed sales assistants, and the advisors they support in the wirehouse, independent and RIA channels, Registered...

Mark Boyadjian 

Oct 1, 2007,

David A. Geracioti

Mark Boyadjian oversees the Franklin Floating Rate Debt Group, which manages $5 billion in assets, for Franklin Templeton Investments. Registered Rep....

What Should I Do With This Money? 

Oct 1, 2007,

By Kevin McKinley

When a client brings in new assets to invest, you probably start by weighing the virtues of bonds versus stocks, mutual funds versus ETFs and global markets...

Mark Soehn 

Oct 1, 2007

Registered Rep.: Advice for building a successful RIA? MS: Planning doesn't guarantee success, but not planning virtually guarantees failure. RR: Your...

Meet The New Panic, Just Like the Old Panic 

Oct 1, 2007,

By David A. Geracioti

About the current credit market turmoil, Former Federal Reserve Chairman Alan Greenspan said in early September, The behavior in what we are observing...