California Securities Arbitrations at a StandstillSep 1, 2002,By Ann Therese Palmer Nancy Zanolini, 57, a semi-retired art gallery manager in suburban Sacramento, Calif., had been eagerly awaiting July 2002 for months. That's when arbitrators... Cashing OutSep 1, 2002,By William A. Jacobson Understandably, the losses of brokerage clients have gotten all the headlines. But the truth is that the bear market has also devastated many careers... Regulators: Borrowing From Clients is Legal But FoolishAug 1, 2002,By Bill Singer The biggest mistake, one broker found, was lying to his frim-even as he was paying back the money.... Street Legal: Blame the SEC, TooAug 1, 2002,By Saul S. Cohen Bloodied investors focus on bankers, greedy execs and crooked accountants. Where were the watchdogs?... Avoid the Enron 401(k) Problem.Jun 1, 2002,By Roger C. Siske Setting up retirement plans for your business clients can be risky. Nevertheless, there's a recipe for protecting yourself from unpleasant surprises.... No Free RideJun 1, 2002,By Bill Singer Consider this: Two years ago you worked for XYZ broker/dealer's Westchester County, N.Y., branch. After a short stint, you moved to another firm, with... If You Can't Do The TimeMay 1, 2002,By Bill Singer ...don't do the crime of lying to regulators.... Street Legal: Return PolicyMay 1, 2002,By William A. Jacobson Firms now fear that they paid too much up front to recruit brokers during the bull market. They want the money back. What's a broker to do?... Cleaning HouseApr 1, 2002,By Dave Sterman The SEC, Congress, industry groups and even companies themselves are suggesting ways to straighten out the regulatory mess and give new gloss to investing.... The Father of the BrideApr 1, 2002,By Bill Singer The party’s over and the NASD is stuck with a hangover and the tab. Will it seek more broker fines to fill the gap?... Don't Panic!Mar 1, 2002,By Saul Cohen What should you do when an unhappy client threatens you with a suit?... Betrayed?Mar 1, 2002,By David A. Gaffen Phil Spartis and Amy Elias say Salomon Smith Barney rushed to settle investor claims against them—and ruined their future as brokers.... The Advocate: Raise Your Voices for Post-Enron RegulationMar 1, 2002,By T. Sheridan O'Keefe It is critical for our professional survival to restore confidence in the markets. The right kind of regulations can do that.... |
Current Issue Promises Will Be BrokenBy Addison Wiggin Are you factoring future Social Security payments into your clients’ financial plans? Bad idea. advertisement Recent NewsREP. RESEARCHadvertisement BOOKS
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