Roids: Not Just For BaseballMay 1, 2008Halah 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.... IT'S OKAY TO OUTSOURCEMay 1, 2008Christina Mucciolo Johnne Syverson, co-founder of RIA firm Syverson Strege & Company, in West Des Moines, Iowa, has been outsourcing money-manager selection and portfolio... Job TossMay 1, 2008Kristen French New York City's Independent Budget Office estimates that the city could lose over 20,000 jobs in the financial sector over the next two years as the mortgage... PROS WITH HEARTMay 1, 2008
If any industry could use a dose of optimism right now, it's financial services. And for the men and women who toil every day on behalf of their clients,... COMINGS & GOINGSMay 1, 2008Halah Touryalai AIG SunAmerica Retirement Markets, Inc., named Greg Blackwell western division sales manager for the Polaris Financial Services Division. Fidelity's National... Anywhere But HereMay 1, 2008By Halah Touryalai In July 2007, his firm, Bear Stearns, announced that two of its flagship hedge funds had collapsed. Not surprisingly, clients weren't too happy about... Variable Annuity Providers Cozy Up To RIAsMay 1, 2008By Alan Lavine John Ritter is an unusual case, but he may also be a harbinger of things to come. A fee-only advisor with Ritter Daniher Financial Advisory, an RIA in... CFO For HireMay 1, 2008By Mollie Neal Nationwide Communications' owner and president Jim Usher knew his firm's finances were in a tangle. But like most small-business owners, he didn't have... The Auction-Rate Mess And YouMay 1, 2008David 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, 2008By 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, 2008By 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, 2008Christina 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, 2008David 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... The Clean Slate ClubMay 1, 2008By Karen Donovan The proposed FINRA rule would change current practice-which renders arbitrations a virtual black box in which the arbitrators need not explain how they decide a case.... Mini MessApr 1, 2008Christina Mucciolo Fidelity Investments is paying big bucks ($3.75 million) in fines for, among other things, playing with little people. Thirteen Fido employees accepted... COMINGS & GOINGSApr 1, 2008Halah Touryalai Wilkes Thomas Martin III joined Morgan Keegan & Co., Inc. as a financial advisor and senior vice president in the firm's Greenville office. Prior to joining... THE ECLIPSE OF PAPERApr 1, 2008BY CHRISTINA MUCCIOLO RegentAtlantic Capital was ahead of the game. In 1996, the fee-only RIA in Chatham, N.J., went paperless a move that put it a decade ahead of its peers.... Raymond James Financial ServicesApr 1, 2008
Raymond James Financial Services 880 Carillon ParkwaySt Petersburg, FL 33716866.905.6333www.advisorchoice.com Number of Back-Office Employees*: 2,051... First Allied SecuritiesApr 1, 2008
First Allied Securities Advanced Equities Plaza655 W. Broadway, 12th Floor; San Diego, CA 92101619.702.9600www.firstallied.com /www.joinfasi.com Number... Wachovia Securities Financial NetworkApr 1, 2008
Wachovia Securities Financial Network One North Jefferson; St Louis, MO 631031.866.485.5383www.wsfinet.com Number of Back-Office Employees*: 7,000 Number... Cambridge Investment Research, Inc.Apr 1, 2008
Cambridge Investment Research, Inc. 1776 Pleasant Plain Road; Fairfield, IA 52556800.777.6080www.joincir.com Number of Back-Office Employees*: 245 Number... The Failure ChainApr 1, 2008BY JOHN CHURCHILL Consider the Curious and Rather Grotesque Case of Gary J. Gross, a financial advisor from (where else?) Boca Raton, Fla. Gross' U4 is close to 100 pages... Woodbury Financial ServicesApr 1, 2008
Woodbury Financial Services 500 Bielenberg Drive; Woodbury, MN 55125800-800-2000www.woodburyfinancial.com Number of Back-Office Employees: 259 Number... MEET THE INDIESApr 1, 2008
Let's face it. Choosing an independent broker/dealer to join isn't easy. There are literally thousands, and each firm claims to offer the best. In a continuing... Beating The BearApr 1, 2008By Stan Luxenberg Academics have long scorned actively managed mutual funds. Instead of spending money on managers who attempt to beat the market (however that is defined),... GOOD TIMES, BAD TIMESApr 1, 2008By John Churchill If you work for one of the major wirehouses, you're in pain. If you're a commission-based rep, business is slow. And if you are a fee-based rep, your... How Low Can You Go?Apr 1, 2008By Stan Luxenberg With credit markets jittery and the economy on the lip of recession (or in recession, depending upon whom you ask), real estate funds have plummeted.... Joseph DuranApr 1, 2008David A. Geracioti Registered Rep: United Capital is a holding company that buys registered investment advisors (RIAs) all over the country. Describe your firm. Joseph Duran:... Focused And Then SomeApr 1, 2008By Stan Luxenberg Competing fiercely for the attention of investors, fund companies have brought out a wave of specialized offerings. Many of the choices which include... Sallie KrawcheckApr 1, 2008David A. Geracioti Editor-in-Chief David Geracioti spoke with Krawcheck about a recently announced reorganization in the wealth-management division. Registered Rep.: For... CRANKY CLIENTSApr 1, 2008BY ANNE FIELD It goes with the territory: During high-anxiety times like these, when market volatility makes even the strongest stomachs churn, you can expect to deal... THE BEAR FACTSApr 1, 2008David A. Geracioti Bear markets are shrinking. According to Leuthold Weeden Institutional Research, in a typical post-WWII bear market, the S&P 500 declined 30 percent over... Use It Or Lose It: Tax Planning For 2009Apr 1, 2008By Mollie Neal Ask a financial expert about the biggest pitfalls that small businesses encounter at tax time, and they'll probably point to a lack of planning. Last... CLIENTS IN YOUR POCKETSApr 1, 2008Halah Touryalai Playing hopscotch from one firm to another, without losing all of your clients, may soon get a little easier. That is, if the SEC's proposed amendment... Giving And Saving With CLTsApr 1, 2008By Kevin McKinley For almost 25 years investors have experienced general appreciation in the value of their investments. However, the last few months may have left many... |
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In This Issue: February 2012
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Got the Social Media Spins? Help Is On The Way
A bunch of social media services have emerged to help financial services firms comply with regulations and make the most of social networks to build business. They've got big plans for 2012.
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