March 1, 2006
REPorts
Got Conflicts?
Mar 1, 2006 12:00 PM, By Kevin Burke
Merill's $8 billion swap with BlackRock fixes its house funds conflicts. Or does it?...
Unclean Hands
Mar 1, 2006 12:00 PM, John Churchill
H&R Block Financial Advisors recently lost an appeal to stop three departing brokers from soliciting or contacting their clients. For reps around the country, the ruling means that moving your book could get a lot easier...
Blotter
Mar 1, 2006 12:00 PM, John Churchill
Good Old-Fashioned Thievery: A former Wachovia Securities broker admitted to stealing the entire life savings of a retiree client. Charles Clark, 47,...
Smokin' Stock (Pickers)
Mar 1, 2006 12:00 PM, John Churchill
Charity contest has Playboy Playmates picking stocks to see who performs better...
Cold Call: Lewis Altfest
Mar 1, 2006 12:00 PM
Interview with Lewis Altfest, President of L.J. Altfest & Co. and Associates...
Gimme an F!
Mar 1, 2006 12:00 PM, Kristen French
A broker is suing the NASD for mistakenly giving him a failing grade on his Series 7 exam...
To Increase Revenue Increase Time Spent With Clients
Mar 1, 2006 12:00 PM, David A. Geracioti
The easiest way to increase revenue is to spend more time with clients, according to a new survey....
Lance's Fund Face
Mar 1, 2006 12:00 PM, Kristen French
Seven-time Tour de France winner Lance Armstrong is the celebrity poster boy for a new line of mutual funds from American Century, called LIVESTRONG....
60 Seconds With...Lon Dolber
Mar 1, 2006 12:00 PM
Interview with Lon Dolber, President of American Portfolios...
Everybody Wants Their Overtime
Mar 1, 2006 12:00 PM, John Churchill
It's a funny thing: financial advisors position themselves as professionals, sometimes even comparing themselves to doctors and lawyers. Yet, like working...
Cover Story: The Problem That Won't Go Away
Our Diversity Problem
Mar 1, 2006 12:00 PM, By HALAH TOURYALAI
Why hasn't the retail investment business done a better job recruiting and retaining minorities and women? The firms say they try, but some former UBS reps say it's racism, pure and simple...
Female Branch Managers: Rare, and Maybe Getting Rarer
Mar 1, 2006 12:00 PM, BY SUSAN KONIG
Women say their interpersonal skills have made them successful managers. They just don't covet the job so much anymore...
Open Arms
Mar 6, 2006 12:03 PM, By David A. Geracioti
Despite its reputation for having a somewhat bawdy sales culture, Wall Street has been downright cutting edge in its equal treatment of gay and lesbian employees. So why are gay and lesbians still so suspicious?...
Merrill's Long March for Native American Business
Mar 1, 2006 12:00 PM, BY SUSAN KONIG
Forty years ago, an enterprising branch manager brought in Merrill's first tribal assets. Today Merrill's tribal unit is headed by one of their own. How one account came to shepherd $4.5 billion...
Features
The Stock Market's Da Vinci Code
Mar 1, 2006 12:00 PM, By Jonathan Moreland
Are a small cabal of Federal Reserve gnomes on Liberty Street keeping the market from crashing? Tales of the Plunge Protection Team just won't go away...
To the Bitter End
Mar 1, 2006 12:00 PM, By John Churchill
A legal battle opens a window on the downside of deferred compensation...
The Best of Both Worlds
Mar 1, 2006 12:00 PM, BY KRISTEN FRENCH
For reps condsidering independence, the RIA-broker/dealer hybrid gives them ample flexibility to create an investment strategy for a wide range of clients...
The Tech Decision Matrix
Mar 1, 2006 12:00 PM, BY ALLEN PLUMMER
What you need to know about analyzing broker/dealer advisor workstations....
The Independents
Mar 6, 2006 12:39 PM, By Halah Touryalai
There are literally thousands of independent broker/dealers. Here's a list of some of the largest by rep count....
The School of Hard Knocks
Mar 1, 2006 12:00 PM, BY KEVIN BURKE
TIAA-CREF the teachers' retirement and insurance giant, has learned some painful lessons as it seeks new growth in 529s and mutual funds...
Investing
Watch Your Back
Mar 1, 2006 12:00 PM, By Jennifer Popovec
Residential mortgaged-backed securities offer attractive yields and diversification. But tread carefully...
Who Needs 'Ya?
Mar 1, 2006 12:00 PM, David A. Geracioti
A hedge fund legend reveals his simple strategy for retail investors...
The Problem of Success
Mar 1, 2006 12:00 PM, By Stan Luxenberg
Small-cap mutual funds have attracted so much attention that the best ones are closed. What no? Can you say 'smids'?...
The Practice
Prodigious Heirs
Mar 1, 2006 12:00 PM, By Anne Field
Most brokers squander their inherited clients. Diligent advisors can build a practice out of them...
The Calling
Mar 1, 2006 12:00 PM, By Ann Therese Palmer
Don Haisman used to design submarines. But he always wanted to be a financial advisor...
Collaborative Divorce
Mar 1, 2006 12:00 PM, By Lynn O'Shaughnessy
A civilized breakup is better for clients - and good business for some advisors...
Wiping Odd Lots Off Your Book for Good
Mar 1, 2006 12:00 PM, By Kevin McKinley
Donating nuisance stock positions to charity benefits everybody, including you....
Whose Lawyer Is It Anyway?
Mar 1, 2006 12:00 PM
Free legal advice in arbitration proceedings may be all that it's worth...
The Medicare and Medicaid Minefield
Mar 1, 2006 12:00 PM, By Janet Arrowood
Learn how to create a clear path for clients and their long-term care needs...
Prime-Time Risks
Mar 1, 2006 12:00 PM, By Stephen D. Gresham and Glen E. Gresham, M.D.
Prime-time risks: An orderly plan for considering them....
E-Talk Is Not Cheap
Mar 1, 2006 12:00 PM, By Bill Singer
The NYSE can level serious penalties for postings without firm approval on public chatrooms...
Creative Giving
Mar 1, 2006 12:00 PM, By Mindy Diamond
Managers are cooking up tasty packages to lure reps...
Positioning Power
Mar 1, 2006 12:00 PM, By Matt Oechsli
A sales strategy for landing more affluent clients...
Surfing the Street
Mar 1, 2006 12:00 PM, By Halah Touryalai
A compilation of some of the best securities industry blogs and Web sites...
Endpiece
Another Tough Top Cop?
Mar 1, 2006 12:00 PM, By Barry Rehfeld
Financial advisors should be pleased that investors continue to come first at Christopher Cox's SEC...
Custody & Clearing Special Supplement
It's Not Just About the Trade
Mar 1, 2006 12:00 PM, BY CHRISTOPHER O'LEARY
The custody and clearing industry is shrinking. For registered investment advisors and reps alike, that's a good thing....
The New Big Board—Or Is That Screen?
Mar 1, 2006 12:00 PM, BY JOHN CHURCHILL
Technology will play an even bigger role in execution after the merger of the NYSE and Archipelago Holdings is completed this month...
Living with Reg SHO
Mar 1, 2006 12:00 PM, BY DAVID WEISS
Brokers need to stay on top of the new rules governing short sales...
