Get It In WritingDec 1, 2003,By Bill Singer Some of the knowledge required to acquire Series a 7 flees a rep's brain before the test scores have even been computed a process that takes mere minutes.... When Yawns Turn to GapesDec 1, 2003,By Michelle Leder Until recently, there was little danger of confusing SEC filings with anything interesting say a best-selling novel or a hard-hitting newspaper story.... On Guard OnlineNov 1, 2003,By Bill Singer The commotion surrounding the salacious e-mails of the equities-research scandal is starting to subside, but that doesn't mean it's safe to forget about... If You File a Complaint and Nobody Reads ItOct 1, 2003,By Bill Singer The NASD says its core mission is ensuring market integrity and investor confidence goals few in the industry have trouble supporting. Trouble is, in... Street Legal: The Brokerage Industry's Darwin AwardsSep 1, 2003,By Bill Singer Sometimes the disciplinary cases that come before the NASD are as amusing as they are troubling.... Employment Issues: A New Way to Look at DisclosureAug 1, 2003,By Bill Singer NASD's rules about reporting complaints are anything but clear. Here's some help in deciphering them.... Will Your Firm Pick Up Legal Costs?Jul 1, 2003,By Jonathan P. Arfa A broker sued by a client typically has a lot of questions about rights and responsibilities. But none is more important than: Who is liable for my defense... The Non-Compete Trap: No Longer the Jaws of DeathJun 1, 2003,By Ann Therese Palmer New rules, legal precedents and a willingness of hiring firms to negotiate non-compete and non-solicitation clauses in contracts can give brokers more options.... Breaking Up Is Hard to DoNov 1, 2002,By Jonathan Arfa When a business partnership is new and everybody is toasting the new team, nobody thinks much about the legal agreements the partners just signed. In... Law & Order: Client-Broker DisputesNov 1, 2002,By Carol X. Vinzant The last couple of years have been hell on anyone who owns stock. And someone must pay. Rightly or wrongly, that person typically is you. Case in point:... Deferred Compensation. Whose Money Is It?Oct 1, 2002,By William A. Jacobson Firms love deferred compensation. After all, it is your money they are deferring, not their own. Just try asking your firm to defer taking its share of... First, Hire the LawyersOct 1, 2002,By Jonathan P. Arfa In this market, it is no wonder that customers are looking to recover losses any way they can. Even clients responsible for their own lousy picks are... 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... 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.... 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?... If You Can't Do The TimeMay 1, 2002,By Bill Singer ...don't do the crime of lying to regulators.... 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.... Don't Panic!Mar 1, 2002,By Saul Cohen What should you do when an unhappy client threatens you with a suit?... |
Current Issue Asset-Gathering MachinesBY HALAH TOURYALAI In the first half of 2008, Camden Capital Management, a fee-only RIA in El Segundo, Calif., added $100 million to its growing pot of client assets... advertisement
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