Edward Jones hit with $2.7 million fineOct 23, 2003,By John Churchill Edward Jones has been hit with a fine of $2.7 million by the NASD, which ruled in an arbitration hearing that one of the firm’s brokers overloaded a client’s... Learn Spanish: Grow Your BusinessOct 23, 2003
The Hispanic market being targeted by financial services firms... Spartis Cleared In Failure to Cooperate ChargeOct 23, 2003,By David A. Gaffen Former Smith Barney broker Phil Spartis, who was responsible for overseeing the options exercise program for WorldCom employees, has been cleared of a charge brought against him by the New York Stock Exchange for failure to cooperate with the exchange.... Hard Words from Tom James for After-Hours TradersOct 22, 2003,By Will Leitch Investors angry about mutual fund trading irregularities have nothing on Raymond James' Tom James.... Bean-Counting In BeantownOct 8, 2003
A recent SIA conference in Boston was no place for the up-beat, as speakers projected higher costs and declining spreads.... Lobbying for IndependentsSep 30, 2003,ByWill Leitch The Financial Planning Association has begun organizing a lobbying group for independent broker/dealers.... PRIMEDIA'S REGISTERED REP. MAGAZINE NAMES BIGGEST BROKERS IN UNITED STATESSep 25, 2003
50 Heavy Hitters Singled-Out in Annual Advisor Survey Represent $75 Billion in Assets Under Management New York, NY - September 15, 2003 - What does it... EXCLUSIVE SURVEY BY PRIMEDIA’S NATIONAL REAL ESTATE INVESTOR AND MARCUS & MILLICHAP FORECASTS CONTINUED INVESTOR CONFIDENCE IN COMMERCIAL REAL ESTATE FOR 2004Sep 25, 2003
Results of Comprehensive Survey Surface Resiliency Across Retail, Industrial, Office and Multi-Family Properties NEW YORK – September 8, 2003 – PRIMEDIA’s... NASD to Sawtelle: You Still Get $25MSep 17, 2003
An arbitration panel, told to reconsider a $25 million award to broker Stephen Sawtelle, has upheld that award.... Specialized Investment Consulting in DemandSep 17, 2003,By Will Leitch The increased need for specialized investment consulting services is driving many of the top brokerage houses to reduce their reliance on the large, general consulting firms, a recent study shows.... Existing Clients Want More AdviceSep 10, 2003,By David A. Gaffen The good news for reps is that the world doesn’t hate you. The bad news is that acquiring clients—particularly affluent ones—is getting a lot more tough.... Two Smith Barney Reps Deny NYSE AllegationsSep 3, 2003,By David A. Gaffen Two former Smith Barney brokers have denied WorldCom-related allegations brought against them by the NYSE.... NASD: Brokers With Complaints Need A Watchful EyeSep 3, 2003,By David Gaffen The regulatory body has proposed that brokers with extensive actions or complaints against them receive enhanced supervision.... Smith Barney Settles On WorldCom; Spartis, Elias Continue FightingAug 26, 2003,By David A. Gaffen While Smith Barney now considers the WorldCom option-account problems at its Atlanta branch closed, two former brokers are still waging their legal battle.... NASD Sets Guidelines On Giving Money BackAug 26, 2003,By Will Leitch The NASD, after its investigation into mutual fund breakpoints revealed that millions are owed to clients by firms, is now making sure the firms know how to rectify the situation.... Building a Better Separate-Account MousetrapAug 12, 2003,By David A. Gaffen Smith Barney is trying to make it easier for its reps to monitor client accounts.... Tussle Over Designations at IMCA Rankles AdvisorsAug 5, 2003,By David A. Gaffen It's experience versus course-work in obtaining the CIMA credentials.... Feds Set Price on DNC ListAug 5, 2003,By Will Leitch The FTC has set a price for its vaunted "Do-Not-Call" list and it's a steep one.... SIA Says "Me Too" on Sales Fee InvestigationsJul 30, 2003,By Will Leitch Amid the brewing investigations into mutual fund sales practices, the Securities Industry Association came out last week in support of the new Joint NASD/Industry Task Force.... Securities Industry Registers Slight Employment UptickJul 30, 2003,By Will Leitch Securities firms have begun adding employees again, according to statistics from the Securities Industry Association and the Labor Dept.... The Most Efficient Path to Sector Rotation: OneChicago Futures on the Dow Jones Microsector IndexesJul 29, 2003
Just looking at the volume numbers for the CBOE's broad-based index options tells the story: through June, total index volume was up 42% compared to the... Servicing Your HNWsJul 23, 2003,By Nigel Goodman A recent Fidelity Investments survey says clients still find portfolio performance to be the most important aspect of the client-advisor relationship. What can advisors do about this?... Advisors: Our Clients Are Feeling BullishJul 15, 2003,By Nigel Goodman It may not be as exciting and thrilling as the running of the bulls in Pamplona, but the recent rumbling of the bulls on Wall Street has created a thrill in its own right for investment advisors.... The "Potential" Play in the HNW GameJul 9, 2003,By Nigel Goodman For years the most successful advisors have been gunning for the top of the money pyramid by tailoring services to the wealthiest clients.... Wealthy Family Sues Famous Lawyer Over Tax PlanJul 9, 2003,By Wendy Davis, Trusts & Estates contributing writer New York real estate magnate Charles B. Benenson and his wife file suit accusing noted trusts and estates lawyer Jonathan Blattmachr of breach of contract and conflict of interest. At core, but not part of the complaint, is the reverse split dollar arrangement -- a tax loophole that the IRS recently warned it will not allow... |
Current Issue Humbled But (Somehow) TriumphantBy Kristen French With reporting from John Churchill and Halah Touryalai Rescued by Bank of America from its near-death experience, Merrill Lynch is still managing to set the industry standard. advertisement
Most Popular Storiesadvertisement Featured Book
Bookstore
|
|||
| Back to Top |
