February 2009


Trust Me  

Feb 1, 2009 12:00 PM, By John Churchill

If electronic-trading pioneer and philanthropist Bernard Madoff was such a convincing fraud, how can your clients trust you? You’re all potential Madoffs now....


The RIA Stealth Machine 

Feb 1, 2009 12:00 PM, By Brooke Southall

State Street has been quietly growing for almost a decade, and it’s now number three in the custody business. Schwab and Fidelity had better watch out....

Gurus 

Feb 1, 2009 12:00 PM, By David A. Geracioti

Note to President Obama: Learn from FDR’s mistakes. A conversation with author Amity Shlaes, author of The Forgotten Man, a narrative about how the New Deal actually inhibited economic recovery....


Short Selling Made Easy 

Feb 1, 2009 12:00 PM, By Stan Luxenberg

Hedging with ETFs....

Bottom-Feeding REITs 

Feb 1, 2009 12:00 PM, By Jennifer Popovec

Investing in non-traded REITs that are raising money to buy (discounted) properties may offer substantial total returns five to seven years hence...


Morgan Stanley's New Army 

Feb 1, 2009 12:00 PM, By Halah Touryalai

James Gorman now controls the biggest brokerage force in the U.S. What will he do with it?...

Blotter 

Feb 1, 2009 12:00 PM, John Churchill

Ponzi, Ponzi Everywhere: The SEC either has a coincidental backlog of Ponzi scheme cases closing in the wake of Bernard Madoff, or the agency has put...

Cold Call: Meg Green 

Feb 1, 2009 12:00 PM, Halah Touryalai

Meg Green, CFP, Meg Green & Associates, North Miami Beach, Fla....

Comings & Goings 

Feb 1, 2009 12:00 PM

Fidelity named Peter Cieszkoas as president of Fidelity Investments Institutional Services Company. Cieszkoas was formerly president and chief executive...

60 Seconds: Eric Schwartz 

Feb 1, 2009 12:00 PM, Christina Mucciolo

Eric Schwartz, CEO of independent b/d Cambridge Investment Research and chair of the Financial Services Institute board....

Fired Up About Fees 

Feb 1, 2009 12:00 PM, Christina Mucciolo

For the past half-decade or more, financial advisors have been shifting from commissions to fees as they seek steadier revenue flows, pursue greater flexibility...

Citigroup's Legacy 

Feb 1, 2009 12:00 PM, Christina Mucciolo

Here's something that may get Smith Barney advisors' blood boiling: Former CEO and Chairman Sandy Weill is still enjoying his 10-year employment agreement...

Presidential Posh 

Feb 1, 2009 12:00 PM, Christina Mucciolo

Ringing in at roughly $170 million, President Barack Obama's inauguration bash was the most expensive ever, according to The New York Times. The inaugural...


The Stock Doc: New Year, New Habits 

Feb 1, 2009 12:00 PM, By Dr. Alden Cass

It was yet another cold and rainy January morning in New York City and the NYSE's morning bell would not be rung for another hour. I sat in my office...

Fix My Business: Niche Business 

Feb 1, 2009 12:00 PM, By Anne Field

How can a rookie build a thriving practice around artists and non-profits? ...

College AidGenerations: College Aid Prep 

Feb 1, 2009 12:00 PM, By Kevin McKinley

How to help clients calculate and maximize the amount of money available to pay for higher education expenses by encouraging parents to apply for financial aid....

Career Moves: What’s In A Move? 

Feb 1, 2009 12:00 PM, By Mindy Diamond

Sure, money is a big part of it. But consider all of the subjective factors, too....

Wealth Management Guru: Home Sweet Home 

Feb 1, 2009 12:00 PM, By Kevin McKinley

Making the most of clients’ residential real estate for tax savings....

The Inner Game: The DNA Of Growth 

Feb 1, 2009 12:00 PM, By Matt Oechsli

It’s tough to kick up growth in a down economy. But GE is working on doing just that. Let’s take a page from its playbook....


Editor’s Letter: Who Knew? Lots Of People 

Feb 1, 2009 12:00 PM, David A. Geracioti Editor-In-Chief

When you read the 2005 Markopolos letter to the SEC, which warned the regulator about Bernard Madoff, what jumps out at you is how many professionals on Wall Street were actually suspicious of Madoff's business. ...

Street Legal: Barred Behind Bars 

Feb 1, 2009 12:00 PM, By Bill Singer

Even convicted felons are entitled to due process....

Puzzler 

Feb 1, 2009 12:00 PM, By John Kador

Think you’re smart? Try these brainteasers, which recruiters use in actual job interviews....



Current Issue

Registered Rep 

Cover

Nickels And Dimes

By John Aidan Byrne

Helping small savers plan their financial futures, without going broke.

Clients, The New Breakaways

First there was the breakaway broker. Now RIAs are grabbing another kind of breakaway, the disgruntled wirehouse client.

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