July 1, 2003
REPorts
The Next Headache: Mutual Fund Marketing Reform
Jul 1, 2003 12:00 PM, By David A. Geracioti
Washington's effort to make fund marketing more transparent could make selling these products a lot trickier for brokers....
Thank You, and Goodbye PaineWebber
Jul 1, 2003 12:00 PM, By Ross Tucker
The company's Swiss parent is pushing advisors to comply with its effort to slim down the monkier to, simply, UBS....
The Return of the Human Touch
Jul 1, 2003 12:00 PM, Nigel Goodman
The market surge of the late 1990s brought with it a rise in do-it-yourself investing. Investors flocked to alternative delivery channels, including online...
Walking H&R's Block
Jul 1, 2003 12:00 PM, Will Leitch
It's not just banks that are poaching reps from wirehouses and regional firms. According to various recruiters, the tax preparation company H&R Block...
COMINGS & GOINGS
Jul 1, 2003 12:00 PM
Stan Sargent, a manager at Prudential, has left to join Merrill Lynch in Merrill's Orlando branch. Sargent, who worked at Prudential for five years, started...
A Royal Welcome for One Thousand
Jul 1, 2003 12:00 PM, Will Leitch
LAS VEGAS If the Royal Alliance National Education Conference is any indication, independents are thinking one thing: The time to strike at wirehouses...
Opinion
Buyer (and Broker) Beware: Reforming Mutual Fund Marketing
Jul 1, 2003 12:00 PM, By David A. Geracioti
It's all your fault. That's right. You, Mister Broker, are the problem. You are the primary reason why the average retail investor doesn't understand his mutual fund investments....
Articles
Is it Safe Yet?
Jul 1, 2003 12:00 PM, By David A. Gaffen
After three excruciating years, the equity markets posted impressive gains this spring. But don't let the feel-good rally go to your head....
The Bush Effect
Jul 1, 2003 12:00 PM, By Constance Gustke
Is President Bush good for Wall Street? Until this spring, that was a hard case to make. During the first two years of the Bush Administration, Wall Street...
Help Your Clients And Your Practice With Charitable Giving
Jul 1, 2003 12:00 PM, By Pam Black
Given the tough economic times and the condition of many bear-battered portfolios, it is not unreasonable to assume that a talk about charitable giving...
Should You Help Clients with Class Action Suits?
Jul 1, 2003 12:00 PM, By Eric Uhlfelder
As a financial advisor, it makes sense to help your clients with anything related to their investments. That could include helping them to get a slice...
Read Their Lips: How to Profit from Exec Speak
Jul 1, 2003 12:00 PM, By Bennett Voyles
For all the information advisors use to make investing decisions research reports, news stories, magazine profiles, earnings squawks the odds of a rep...
Take A Look Beyond The Godzilla of Bond Funds
Jul 1, 2003 12:00 PM, By Stan Luxenberg
Bill Gross, manager of the Pimco Total Return fund, is arguably America's best known money manager. Called the Peter Lynch of the bond world, Gross's...
Machiavelli Meets the Thousand Points of Light
Jul 1, 2003 12:00 PM, By Anne Field
Back in 1985, Mary-Jo Iocavino started singing with the prestigious Oratorio Society of New York. The 200-member group, co-founded by Andrew Carnegie,...
Making the New Tax Cuts Your Gain
Jul 1, 2003 12:00 PM, By Susan L. Hirshman
When President Bush first floated his tax-cut proposals, I penned a column about its implications, should the measures pass intact. Inevitably, several...
How to Talk to Clients
Jul 1, 2003 12:00 PM, By Steve Gresham
In previous columns, I have addressed whom to target for managed accounts and why such investments are attractive to affluent clients. This month's column...
The Do's and Don'ts of FLPs
Jul 1, 2003 12:00 PM, By Roy M. Adams
As previously discussed in this column, creating and funding a family limited partnership or limited liability company (both types are referred to herein...
Immediate GRATification
Jul 1, 2003 12:00 PM, By Kevin McKinley
It is a world of harsh realities for reps. Interest rates are at historic lows; stocks, while showing signs of life, are still radioactive to many clients....
Will Your Firm Pick Up Legal Costs?
Jul 1, 2003 12:00 PM, 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...
A Daily Routine for Building an HNW Practice
Jul 1, 2003 12:00 PM, By Matt Oechsli
By now, the benefits of migrating to a high-net-worth business are well known. So, too, are the challenges of making the transition. Everything about...
Why Wealthy Clients Say No to Reps
Jul 1, 2003 12:00 PM, By Hannah Shaw Grove and Russ Alan Prince
If you've ever courted a client, you've been rejected. Like any spurned suitor, you have probably anguished over where you went wrong. What could you...
Vegas, Baby, Vegas!
Jul 1, 2003 12:00 PM, By Will Leitch
Last month, I was invited to the annual Royal Alliance National Education Conference, hosted by the independent broker/dealer at the MGM Grand in Las...
