What the Martha and Peter Case Means to YouMay 1, 2004By David A. Feldman To many rank-and-file financial advisors, the Martha Stewart-Peter Bacanovic case is very far removed from their everyday business experience. After all,... What's a Rep to Do?Apr 1, 2004
Q: I work for three credit unions that offer investment services to members. I replaced a man who had been here for years and was fired for selling away.... Fee-Based Accounts Come Under ScrutinyApr 1, 2004David A. Gaffen The long parade of securities scandals has convinced broker/dealers to apply some prophylactic measures to their fee-based accounts. Registered reps at... A View From the Nation's CapitalApr 1, 2004David A. Gaffen Much of the noise in the broker/dealer industry lately is coming from the halls of Washington rather than from the trading desks all over the country.... The Problem with Filling in the BlanksApr 1, 2004By Bill Singer Martha Stewart apparently is not alone in her creative approach to document management. During a recent NASD examination, a broker/dealer could not locate... Last Call for Soft Dollars?Apr 1, 2004Will Leitch MFS Investment Management and Morgan Stanley's announcements in March that they will no longer pay soft dollars to brokerages for third-party research... Arb-ominationMar 1, 2004
With scandals continuing to dominate the news and broker/dealers under more fire from the investing public, it come as little surprise that arbitration... Not-So-Fine PrintMar 1, 2004John Churchill Get ready, brokers All of the hand wringing during the last two years over faulty research and enhanced disclosure will seem like grade school compared... Merrill Broker Expects Ruling SoonMar 1, 2004David A. Gaffen Hydie Sumner, one of the remaining 50 or so registered reps who sued Merrill Lynch for gender discrimination, is expected to hear a decision from an arbitration... Sunset for Settlements?Mar 1, 2004By Richard Roth & David M. Kasell ANASD rule change destined to take effect later this year would have the unintended consequence of making it harder for investors to obtain the redress... Compensation ConundrumsMar 1, 2004
Q: I've been a Morgan Stanley registered rep for 19 years. Lately, with the new push on account fees for everything, sometimes clients don't pay. Firms... Wrapped in RedFeb 1, 2004By Bill Singer In one of the few memorable scenes in Godfather III, Michael Corleone laments his inability to break free of the gangster life: Just when I thought I... Whistleblowers Save Your BreathJan 1, 2004By Bill Singer Bureaucracy that smacks of willful ignorance that's what one would-be tipster (and client of mine) encountered when he tried to anonymously notify regulators... We May Be Guilty—But Only of Being AnnoyingJan 1, 2004David A. Gaffen Let the finger pointing begin. As the mutual fund scandal kicks into high gear, brokers are starting to unveil their plans for fighting regulators' charges... Late-Trading Disclosure At Schwab Rankles AdvisorsJan 1, 2004Will Leitch In November, Charles Schwab & Co. disclosed instances of late trading and market timing in its Excelsior Funds, operated by its U.S. Trust unit. Not only... Women Reps Vs. Merrill—It's Not OverDec 1, 2003David A. Gaffen A protracted legal action against Merrill Lynch may finally be seeing the end or at least the beginning of its end in the next few months. Arbitration... Playing with FireDec 1, 2003By Don Trone The questions above warrant immediate consideration because there is a very strong likelihood that new Federal legislation is going to be passed that... Get It In WritingDec 1, 2003By 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, 2003By 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, 2003By 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, 2003By 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, 2003By 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, 2003By 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, 2003By 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, 2003By 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.... |
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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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