The Expungement CrusadeNov 1, 2007BY 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. BairdNov 1, 2007Christina 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,... No Pain, No GainNov 1, 2007By 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... Stifel Who?Nov 1, 2007BY 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,... Show Us (Less) Money!Nov 1, 2007John 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... UBS Earnings BombOct 31, 2007By 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 BetterOct 30, 2007By 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 VegasOct 30, 2007By 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 BasicsOct 30, 2007By 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 BlockOct 26, 2007By 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 RealtorsOct 25, 2007By 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 SpotOct 24, 2007By 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 MerrillOct 23, 2007By 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.... U5 HazardOct 1, 2007By Karen Donovan Brokerage firms can say anything they like on a departing broker's Form U5, even if it's defamatory in nature and untrue. That's because the New York... Banking on BrokerageOct 1, 2007By Susan Konig Over the years, bank-based brokerages haven't posed much of a threat to Wall Street firms' pursuit of high-net-worth individuals. Most bank brokerages... How to Swim UpstreamOct 1, 2007By Anne Field Three years ago, Kalita Blessing set out on a mission. She was determined to rev up her bottom line. Blessing, a principal with Quest Capital Management... The Courting GameOct 1, 2007By Mindy Diamond Today's intensely competitive recruiting environment demands that branch managers spend a lot of time and energy wooing prospective hires. But too many... Debbie WagnerOct 1, 2007Christina Mucciolo When Richmond native Debbie Wagner came into work one day in early March, there were signs, banners and streamers everywhere; there were flowers on her... Joan Joni SchultzOct 1, 2007John Churchill When Joni Schultz interviewed for the sales assistant position Andrew Burish was looking to fill, she just had one question: Why had he gone through seven... Grace SimmonsOct 1, 2007Kristen French Grace Simmons is like a family member and a friend to client and colleagues, say her superiors and one that can be counted on. Grace is very easy to like,... A Sweeter DealOct 1, 2007By 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 PainOct 1, 2007By 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 WealthyOct 1, 2007By 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 RiseOct 1, 2007By 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 BuzekOct 1, 2007Christina 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, 2007By 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 ElliotOct 1, 2007Kristen 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 ComplianceOct 1, 2007By 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 AssistantOct 1, 2007By 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 BoyadjianOct 1, 2007David 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, 2007By 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 SoehnOct 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 PanicOct 1, 2007By 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... Comings & GoingsOct 1, 2007Halah Touryalai Industry consultant Mark Tibergien has joined Pershing Advisor Solutions as CEO and a member of its executive committee. Prior to joining Pershing, Tibergien... Overtime Finally Pays OffSep 13, 2007By Halah Touryalai In January, Smith Barney brokers may be the first to cash in on overtime lawsuits that have been all the rage over the last two years. A Northern District of California judge approved the allocation of $98 million in settlement money, as well as the schedule for carrying out the settlement. ... |
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