Thain + You, Sittin’ in A TreeJun 11, 2008,By Kristen French If you’re a Merrill FA, Thain loves you—and he wants you to know about it, too. ... Credit Downgrades, More Write-Downs And The ARS MarketJun 9, 2008,By John Churchill Credit downgrades last week to MBIA and AMBAC Financial Group, the world’s largest bond insurers, will lead to more write-downs at Citigroup, Merrill Lynch and UBS, according to a research report from Oppenheimer analyst, Meredith Whitney. ... Wachovia CEO Thompson Gone; Sale to JPMorgan In The Cards?Jun 2, 2008,By Christina Mucciolo Wachovia announced today that CEO and chairman, G. Kennedy “Ken” Thompson had retired, at the Board of Director’s request. Thompson worked 32 years at the bank, and acted as chairman and CEO from 2000 to May 2008. ... Top Citi Broker DefectsJun 2, 2008
Richard Zinman, a star Smith Barney broker, and his team left the bank for Credit Suisse on Friday, Business Week reports. Zinman is consistently ranked among the top broker’s in the country in terms of assets under management; he tied for 7th place with two other brokers in Registered Rep’s Top 100 Wirehouse Advisors, published in September, with $5 billion in assets. ... Ed Moldaver, (Morgan Stanley, Red Bank, N.J., $450 million in AUM)Jun 1, 2008,Halah Touryalai Registered Rep: You recently joined Morgan Stanley from Bear Stearns. What do you miss most? Ed Moldaver: The Bear Stearns mentoring program, where I... You've Got MailJun 1, 2008,By Bill Singer Once upon a time, Ma Bell owned the phones, the U.S. Postal Service delivered all the mail, and for emergencies you sent a Western Union telegram. Then... Slaying Your Inner DragonsJun 1, 2008,By Stephen Gresham At one time or another all of us have said or done something that was contrary to our own best interest, damaging to an important relationship or just... Mission Personal PotentialJun 1, 2008,By Matt Oechsli Warren Buffett has said, I choose to work with every single person that I work with. That ends up being the most important factor. I don't interact with... THEY WORK HARD FOR THE MONEYJun 1, 2008,By Christina Mucciolo When Jeffery Camarda Left His Job as an insurance-based advisor at John Hancock in 1988 to launch Camarda Financial Advisory Inc., a fee-only RIA, his... Flexing Your Trigger FingerJun 1, 2008,By Mindy Diamond If there is any lesson for advisors in the recent Bear Stearns implosion, it might be this: In times of market crisis it can't hurt to have an exit strategy... You're Fired, You're HiredJun 1, 2008,Halah Touryalai A lot of JPMorgan Chase employees are going to be in search of new digs very soon. The firm is expected to shed itself of 4,000 of its own staff about... WHAT'S A 12B-1 FEE?Jun 1, 2008,By Stan Luxenberg For years, regulators have considered altering the 12b-1 fees imposed on mutual funds. But despite hearings and public debate, no new rules have appeared.... Philip PalaveevJun 1, 2008,Kristen French Registered Rep: What attracted you to Fusion? Philip Palaveev: First of all, the fantastic group of advisors Fusion currently has some of whom were my... COMINGS & GOINGSJun 1, 2008,Halah Touryalai Jim Dario joined Pershing Advisor Solutions from Fidelity Institutional Wealth Services as a Managing Director, responsible for leading business development... How Do You Like Me Now?Jun 1, 2008,By John Churchill When it began, the credit crisis had little to do with retail brokerage. After all, the fixed income departments were the ones who made the bad mortgage... Gettin' A PieceJun 1, 2008,By Halah Touryalai Cleves Delp, an LPL Financial-affiliated advisor in Maumee, Mo., with $1.5 billion in assets under management, says he's been looking into starting his... Pay It OutJun 1, 2008,By Stan Luxenberg Now that the Baby Boomer generation is retiring in droves, fund companies are focusing on a thorny question: How can retirees obtain reliable income from... The Not-so-distant Financial DystopiaJun 1, 2008,By David A. Geracioti I'd hate to run into Michael Panzner at a cocktail party. Talk about bringing a person down. In his revised and updated book, Financial Armageddon: Protect... Making Employees CountJun 1, 2008,BY ANNE FIELD When your firm begins to grow, you have to hire more staff, but that’s not enough. You have to develop solid processes to help them work efficiently, too... ProspectingJun 1, 2008,By Susan Konig Many brokerage-industry watchers agree that mergers and acquisitions can be rather tiresome for clients, eroding their confidence in the firms and, often,... Recession-Proof Your ClientsJun 1, 2008,By Mollie Neal Small-business owners are well aware of today's harsh economic realities. How could they not be? Some companies especially those in real estate and construction... The Real RainmakersJun 1, 2008,David A. Geracioti Editor-In-Chief There was a time when the institutional side of a securities firm would walk with a swagger. After all, it was you, the retail financial advisor, who... Indie B/Ds Inching Forward With RegulatorsMay 21, 2008,By Halah Touryalai The independent broker/dealer channel is still fighting a decades-old battle. In Chicago this morning, the fourth annual SIFMA Independent Firms Conference opened with remarks from industry executives whose speeches seemed to underline a familiar theme: the challenges of compliance for independent firms.... Should Congress Rescue Me From My Margin Debt?May 20, 2008,By David A. Geracioti We hate to get too political here, but the Senate deal to “save” struggling homeowners by refinancing up to $300 billion in loans seems quite unfair to taxpayers and, I would daresay, equity investors or speculators of any kind. Sure, homeownership is the bedrock of American culture, populist politicians say. But consider the case made by John Tamny, the editor of RealClearMarkets.com, a comprehensive and opinionated blog on all things economic (and a sister to the most-excellent RealClearPolitics.com). ... Citi Plan Gets Whitney SmackdownMay 13, 2008,By Nancy N. DiCostanzo Pandit's meeting with analysts and advisors on Friday proved disappointing for those hoping that Citigroup's integrated banking model would be getting the boot. Shareholders and analysts have been whining about the need for a breakup for months, but they don’t seem to have had any affect on Pandit’s resolve. ... The Party's OverMay 9, 2008,By Nancy N. DiCostanzo Thursday was no fun for G. Kennedy Thompson, as the board decided it was time for him to step down as chairman at Wachovia. However, he hasn't been voted off the island just yet. ... The Auction-Rate Mess And YouMay 1, 2008,David A. Geracioti Editor-In-Chief In September 2006, an SEC official gave a remarkably prescient speech to an obscure organization (well, obscure to me, anyway). Martha Mahan Haines, chief... The Branch Manager SwitchMay 1, 2008,By Mindy Diamond There was a time, not too long ago, when for many a tenured financial advisor, graduating to a branch-manager position was the ultimate aspiration. It... Survivorship Life Back In FavorMay 1, 2008,By Alan Lavine Despite current laws that reduce the estate-tax bite, survivorship life insurance is making a comeback as an estate-planning tool among some advisors.... Timothy Halls,(Moneta Group, Clayton, MO.)May 1, 2008,Christina Mucciolo Registered Rep: If you weren't an advisor, what could you see yourself doing? Timothy Halls: Teaching. I get to do a lot of that as an advisor, and I... Inside The Minds Of Financial AdvisorsMay 1, 2008,David A. Geracioti Alden Cass is a clinical psychologist who specializes in financial-services employees. Below, the Stock Doc speaks. Registered Rep.: In your book, Bullish... A FALSE SENSE OF SECURITYMay 1, 2008,BY JOHN CHURCHILL Are closed-end fund preferred-auction securities safe? We consider CFPs to be the conservative's conservative security.... WHAT RECESSION?May 1, 2008,David A. Geracioti When it comes to company earnings estimates, analysts tend to be optimistic. The U.S. is probably in the midst of a recession, spurred by the credit crunch,... Gladiator FinanceMay 1, 2008,Nancy N. DiCostanzo Wall Street Warriors is now casting for its third season, and it's looking for warriors like you. Radius Productions wants four to five men and women... Roids: Not Just For BaseballMay 1, 2008,Halah Touryalai Below is the transcript of an affidavit from a case in which Bear Stearns attempted to impose a temporary restraining order on departed broker Doug Sharon.... |
Current Issue Humbled But (Somehow) TriumphantBy Kristen French With reporting from John Churchill and Halah Touryalai Rescued by Bank of America from its near-death experience, Merrill Lynch is still managing to set the industry standard. advertisement Recent NewsREP. RESEARCHadvertisement BOOKS
This reference book was updated for 2008 and now contains over 900 pages of information on essential financial concepts and wealth management strategies for your work with wealthy clients. The book not only contains brief summaries of each topic, but it also contains many useful diagrams and charts that can be used with clients when explaining difficult financial concepts. The information in this book meets current FINRA/NASD guidelines. Click here. Bookstore
|
| Back to Top |
