New Rule Makes Clearing Your Record HarderJan 27, 2004,By John Churchill Brokers can expect a new rule that will make removing customer complaints and disciplinary actions from their public records much more difficult. Proposed... UntitledJan 26, 2004
Using options requires the proper mindset. When recommending an option strategy to a client, it is important that they have realistic expectations. Equipping... The "Thanksgiving - Christmas - Super Bowl Strategy"Jan 26, 2004
It is never too soon to think about year-end tax issues. Imagine that you have the opportunity to take a loss on a stock you own, but, since you like... UBS Adds HNW Reps in San Fran, AtlantaJan 20, 2004,By David A. Gaffen UBS Securities, which has been one of the most aggressive recruiters of the last year or so in the retail brokerage business, continued its hiring efforts,... NASD Charges Waddell & Reed With ViolationsJan 16, 2004,By John Churchill The NASD Wednesday slapped Waddell & Reed with more than 6,700 complaints, charging that the firm systematically encouraged brokers to recommend unsuitable... Test Matt AloneJan 15, 2004,Matt test This is the abstract test.... Testing 1/15Jan 15, 2004,Matt Barthel Test story text for posting on 1/15. Test story text for posting on 1/15. Test story text for posting on 1/15. Test story text for posting on 1/15. Test... Matt test no. 2Jan 15, 2004,Matt This is the test number 2. I want this to post on the site with the first couple of sentences filling in the abstract (intro summary). I left that field... Baby Boomers Zero in on RetirementJan 14, 2004,By John Churchill As they approach retirement, baby boomers have become more sophisticated in using financial planning... UntitledJan 13, 2004,J. Kyle Graham The OEX index is trading at $560, and your client wants to sell 560 puts for $10. Is there a similar strategy with less risk that you can recommend? Yes!... UntitledJan 13, 2004,J. Kyle Graham The OEX index is trading at $560, and your client wants to sell 560 puts for $10. Is there a similar strategy with less risk that you can recommend? Yes!... Extended Life for Controversial NASD InitiativeJan 12, 2004,By Will Leitch A controversial NASD initiative that would give investors easy access to complaints against brokers is undergoing some change, but it’s looking increasingly... ICI Fires Back on Mutual Fund Fee IssueJan 7, 2004
The Investment Company Institute has responded in kind to a recent study that found that mutual fund investors shoulder exorbitant management fees... Smith Barney’s Unified Managed Accounts Raises $500 millionDec 23, 2003,By David A. Gaffen Though still in its infancy, Smith Barney’s unified managed account has gathered more than $500 million in assets in just two-and-a-half months. The UMA,... The Ethical RepDec 19, 2003
In February, Registered Rep. will introduce a new monthly column, “The Ethical Rep,” perhaps the first of its kind in the securities industry. A team... Dot ConnedDec 12, 2003,By John Churchill SIPC Warns of Brokerage Identity Theft Scheme. Unwitting investors fleeced by cons using real names of brokers and firms... Buying American In Tough TimesDec 12, 2003,By Stan Luxenberg Some major fund families have been damaged by scandal, but American Funds and a few others are—so far—keeping it clean.... Smith Barney Changes Payout GridDec 11, 2003,By David A. Gaffen Previous rewards for selling funds and annuities are eliminated; producers with more than $300,000 in production will see a bump in compensation.... Securities Revenues Fall in Third QuarterDec 10, 2003,By David A. Gaffen Profits are still up in the last seven of nine quarters, fueling optimism.... Raymond James Audits ItselfDec 9, 2003,By Will Leitch Regulators have recommended “enforcement action” against Raymond James for failing to give clients breakpoint discounts.... Following the Money TrailDec 9, 2003,By John Churchill It’s getting harder for advisors to know whether they’re being paid correctly.... Wealthy Investors Fleeing Mutual FundsDec 3, 2003,By John Churchill The wealthiest investors in America apparently had a problem with mutual funds even before the industry’s unethical behavior came to light.... Spitzer, OCC Issue Corporate Death PenaltyDec 2, 2003,By Will Leitch Fund intermediary essentially declared a criminal enterprise.... Consider Your OptionsDec 2, 2003
“The stock went up, but my call didn’t!” “My call doubled when the stock rose only $2!” Some of the most commonly expressed frustrations with options... LEAPS® End-of-Year Tax StrategyDec 2, 2003,Marc Allaire and Marty Kearney The “Thanksgiving - Christmas – Super Bowl Strategy” It is never too soon to think about year-end tax issues. Imagine that you have the opportunity to... |
Current Issue Promises Will Be BrokenBy Addison Wiggin Are you factoring future Social Security payments into your clients’ financial plans? Bad idea. advertisement
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