May 2008


The Clean Slate Club

May 1, 2008 11:19 AM, By 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....

The Bear Minimum

May 1, 2008 12:00 PM, Kristen French

Wives of two senior Bear Stearns investment bankers cancelled pricey interior-design contracts just two days after the firm announced its sale to J.P....

Timothy Halls,(Moneta Group, Clayton, MO.)

May 1, 2008 12:00 PM, Christina 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 Advisors

May 1, 2008 12:00 PM, David 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...

BLOTTER

May 1, 2008 12:00 PM, John Churchill

Diamonds Aren't Forever The SEC charged 11 people, and three companies, for allegedly conspiring to illegally issue and sell unregistered stock in a diamond...

WHAT RECESSION?

May 1, 2008 12:00 PM, David A. Geracioti

When it comes to company earnings estimates, analysts tend to be optimistic. The U.S. is probably in the midst of a recession, spurred by the credit crunch,...

Roids: Not Just For Baseball

May 1, 2008 12:00 PM, Halah 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....

Gladiator Finance

May 1, 2008 12:00 PM, Nancy N. DiCostanzo

Wall Street Warriors is now casting for its third season, and it's looking for warriors like you. Radius Productions wants four to five men and women...

IT'S OKAY TO OUTSOURCE

May 1, 2008 12:00 PM, Christina 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 Toss

May 1, 2008 12:00 PM, Kristen 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 HEART

May 1, 2008 12:00 PM

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 & GOINGS

May 1, 2008 12:00 PM, Halah Touryalai

AIG SunAmerica Retirement Markets, Inc., named Greg Blackwell western division sales manager for the Polaris Financial Services Division. Fidelity's National...


A FALSE SENSE OF SECURITY

May 1, 2008 12:00 PM, BY JOHN CHURCHILL

Are closed-end fund preferred-auction securities safe? We consider CFPs to be the conservative's conservative security. Defaults are even rarer than failed...


ANYWHERE BUT HERE

May 1, 2008 12:00 PM, By 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 RIAs

May 1, 2008 12:00 PM, By 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...


Currency Plays For The Retail Set

May 1, 2008 12:00 PM, By Stan Luxenberg

Dodge & Cox is not famous for making dramatic contrarian moves. Instead, the company's funds have become popular by following cautious strategies, such...

How To Play The Agriculture Game

May 1, 2008 12:00 PM, By Brad Zigler

During the heyday of paper assets, stockbrokers regularly lorded over their commodity-dealing brethren. It wasn't personal, mind you, just the nature...


CFO For Hire

May 1, 2008 12:00 PM, By 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...

College Credit

May 1, 2008 12:00 PM, By Kevin McKinley

Given a choice, most of your clients would rather pay for their kids' college education from accumulated savings or an overabundance of current income...


The Auction-Rate Mess And You

May 1, 2008 12:00 PM, David 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 Smaller They Are, The Harder They Fall

May 1, 2008 12:00 PM, By Bill Singer

On April 28, 2003, the SEC, the NASD, the NYSE and various states announced a $1.4-billion landmark settlement with 10 of Wall Street's largest broker/dealers...

The Branch Manager Switch

May 1, 2008 12:00 PM, By 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...

A Back Door To Success

May 1, 2008 12:00 PM, By Matt Oechsli

Let's take a contrarian viewpoint regarding success. Much has been written about the typical qualities required for success. (In fact, I covered those...

Survivorship Life Back In Favor

May 1, 2008 12:00 PM, By 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....

HIRING GOOD HELP

May 1, 2008 12:00 PM, BY ANNE FIELD

A Partner in an independent firm in Arizona, Paul Ahern wants to hire a few more advisors to help expand the practice. But he's having trouble finding...

Registered Rep. Readers Do It By The Numbers

May 1, 2008 12:00 PM, Compiled By John Kador

Smart decisions are based on more than government statistics, agency reports, news releases, interest rates and stock quotes. We've selected a few fascinating...



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Registered Rep Cover

A FALSE SENSE OF SECURITY

May 1, 2008

Are closed-end fund preferred-auction securities safe? We consider CFPs to be the conservative's conservative security. Defaults are even rarer than failed...

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Wall Streets Bull and How to Bear It 

"There are two requirements for success in Wall Street. One, you have to think correctly; and secondly, you have to think independently." - Benjamin Graham. "Wall Street's Bull and How to Bear It" was written to encourage a strong commitment between investment advisors and their clients. The book identifies a unified set of core beliefs that advisors and their clients should share....

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