Attorneys at Merrill Lynch asked a federal judge in New York to throw out a suit representing thousands who lost money in the Internet bubble, and the firm’s pleas appear to be finding a receptive ear....
Jun 17, 2003
CBOE has launched CBOEdirect HyTS, the Hybrid Trading System. CBOE's revolutionary hybrid trading platform incorporates the speed and efficiencies of...
New Page 1 Las Vegas, Nevada - Monday, May 19, 2003 – PRIMEDIA’s (NYSE: PRM) Retail Traffic Magazine and National Real Estate Investor Magazine announced...
New Page 1 The Authoritative Voice of the Retail Real Estate Industry Re-launches with 244-Page May Issue and Focuses on Doing Business Now and In the...
New Page 1 Sallie Krawcheck Expects Each Financial Advisor to Double Production to $1 Million IN AMERICA New York, NY – June 4, 2003 — PRIMEDIA’s Registered...
When New York Attorney General Eliot Spitzer announced the $1.4 billion settlement of the securities conflict of interest case in April, his office warned that it was "the beginning, not the end." Wirehouses are finding out, in a big way, that he wasn’t kidding....
A federal judge in Vermont has ruled against Merrill Lynch’s attempt to prevent two former brokers from contacting clients they held while at the firm....
If the Royal Alliance National Education Conference is any indication, independents are thinking one thing: The time to strike at the wirehouses is now....
Have your clients asked about the performance of covered writing? Writing covered calls, also known as the "Buy-Write Strategy," is a basic options strategy,...
May 30, 2003
XYZ stock is trading at $70, and your client wants to buy it at $60. There are 70-strike and 65-strike puts available, which are trading for $2 and $1,...
Pending legislation could clear the way for advisors with 401(k) business to sell financial advice to plan participants. On May 14, the House of Representatives passed the Pension Security Act of 2003, the first step to opening the door for 401(k) plan providers to offer investment advice....
The defection of over 30 Waddell & Reed advisors in the New York and Connecticut region to Washington Square Securities (WSSI), an ING affiliate, has driven a wedge between the firms....
An en masse defection of advisors from several Waddell & Reed offices in the New York and Connecticut region has begun, according to a former executive closely involved in the situation....
In-between waiting in line for an autographed baseball from Hall-of-Famer Harmon Killebrew and learning the secrets of Navajo flute-making out here in the desert, members of the Investment Management Consultants Association expressed guarded optimism about the markets, their clients and how to improve their businesses....
Cannon’s Concepts For Professionals: A Complete Library of Essential Financial Concepts
This reference book was updated for 2008 and now contains over 900 pages of information on essential financial concepts and wealth management strategies for your work with wealthy clients. The book not only contains brief summaries of each topic, but it also contains many useful diagrams and charts that can be used with clients when explaining difficult financial concepts. The information in this book meets current FINRA/NASD guidelines....
