Independent research from ARGUS to be available to PRIMEDIA's Registered Rep. & Trusts & Estates readersFeb 10, 2003
Leading Publications to Help Advisors with Independent Research New York - February 10, 2003 PRIMEDIA's Registered Rep. and Trusts and Estates magazines,... UBS Continues to Attract TalentFeb 6, 2003,By Ross Tucker UBS PaineWebber recently lured six more high-producing reps into its fold, offering further evidence that the firm is engaged in one of the Street’s most vigorous recruiting campaigns.... Complexing Issue: Morgan Stanley Creating Bunches of BranchesFeb 4, 2003,By David A. Gaffen Morgan Stanley is requiring that an increasing number of its branch office managers begin producing. The move is an outgrowth of its office "complexing" strategy, which groups together multiple branches under a single manager.... UntitledJan 29, 2003
Do you have a client who has money to invest in the market but who is holding back for fear that the bear market is not over? A three-part strategy consisting... Weiss Study: Analyst Community Still a "Sell" OutJan 28, 2003,By Ross Tucker A study of the ratings systems at 30 brokerage firms showed significant improvement in their identification of companies heading into bankruptcy. On the down side, though, a surprising number continue to recommend companies right up to the day they file for Chapter 11.... Busting a CAPJan 22, 2003,By Will Leitch Opponents of a controversial Salomon Smith Barney Capital Accumulation Plan (CAP) are getting what they’ve yearned for: their day in court. For the first time, a trial date has been set for a case that targets SSB’s plan. In April, a New Jersey court will hear arguments that the plan is in violation of wage law.... PRIMEDIA’S REGISTRED REP. MAGAZINE PRESENTS 2003 FORECAST FOR THE BROKERAGE INDUSTRYJan 17, 2003
PRIMEDIA’S REGISTRED REP. HONORED WITH 2002 PUBLISHING AWARD New Page 1 Firms Continue to Push Comprehensive Financial Planning, a Team Approach to Client... PRIMEDIA’S SHOPPING CENTER WORLD MAGAZINE LISTS RETAIL MARKETS SET FOR SUCCESS IN A RECOVERYJan 17, 2003
New Page 1 January Issue Details Seven Cities Poised to Thrive New York - January 17, 2003 PRIMEDIA’s Shopping Center World magazine, the source of information... Pru Tells Admin Managers To Dump BooksJan 17, 2003,By Rick Weinberg Prudential Securities informed all of its administrative managers at the beginning of the year that if they were also producing brokers, they were no longer going to be paid commissions, according to sources.... Wachovia-Prudential: For Real This Time?Jan 13, 2003,By David A. Gaffen and David A. Geracioti Can you say Pru-chovia? Prudential Securities and Wachovia Securities are very close to an agreement to join forces, one that was scuttled earlier in the year, reportedly due to differences in who would control the unit. While few details have emerged, the joining of the two brokerage units would rival wirehouses Salomon Smith Barney, UBS Securities and Morgan Stanley.... Wachovia Alters Production PayoutJan 9, 2003,By David A. Gaffen Wachovia Securities has altered its monthly production bonus payout for 2003, moving up the monthly production level needed in order for brokers to avoid being penalized for monthly payouts. Previously, brokers received what is known as "grid," or a particular percentage payout, for production between $17,000 and $18,999 during a month.... SIA Urges No Change to Branch Office DefinitionJan 8, 2003,By Ross Tucker The SIA has expressed serious concerns over proposed changes by the NYSE and SEC that would alter the qualifications by which a broker/dealer office is considered a branch office.... NASD: Firms Are Overcharging ClientsJan 8, 2003,By Will Leitch The NASD, acting on a tip acquired during an investigation, has sent several brokerage firms word that it has discovered brokers are not providing earned discounts to mutual fund investors, therefore overcharging them.... Judge Says CAP Plan Violates Wage LawsDec 20, 2002,By Will Leitch Opponents of Salomon Smith Barney’s CAP Plan, a deferred compensation plan which requires employees to contribute wages through payroll deductions to purchase restricted shares of company stock, have been shot down repeatedly in their attempts to fight the policy on the grounds that it is an illegal withholding of wages. But they might have caught a break.... Supreme Court Favors Arbitration in Brokerage CasesDec 18, 2002,By Rick Weinberg The Supreme Court has reaffirmed its stance that the arbitration forum is the proper venue for deciding brokerage cases. The high court recently ruled unanimously that an arbitration forum—not a court—will decide when a claim against a brokerage firm is too late to be dealt with through arbitration.... UntitledDec 17, 2002
There is a new financial product in town and it just might be the ticket for customers looking to hedge some of those weak performers in their stock portfolios.... UntitledDec 16, 2002,J. Kyle Graham 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,... Science in the Service of ArtDec 16, 2002,Author From October 5-8, the Audio Engineering Society returned to Los Angeles for its 113th convention. With the economy in slow recovery, nobody knew exactly... UntitledDec 13, 2002
For more information about our products and services: MyCourses@cboe.com Blue Sky: customerservice@buybluesky.com Phone: (866)562-0777 http://www.cboe.com/LearnCenter/seminarmain.asp... The Options InstituteDec 12, 2002
SEMINARSLearn options from experienced industry leaders! The Options Institute Seminars are designed to teach participants how to meet their investment... Merrill Program Seeks to Boost Women and Minority AdvisorsDec 11, 2002,By Ross Tucker Executives from Merrill Lynch’s global diversity group say the firm has to do a better job in retaining and boosting the performance of women and minority financial advisors.... Bush Appoints DLJ Founder To Run SECDec 11, 2002,By Will Leitch The Securities and Exchange Commission, an institution under fire, and with a large job ahead, may finally have a new chairman. A month since embattled former chairman Harvey Pitt resigned, President Bush announced plans to nominate William Donaldson, founder of investment bank Donaldson Lufkin & Jenrette to head the agency.... PaineWebber Cuts Bonuses, Expense AccountsDec 11, 2002,By Rick Weinberg Brokers at UBS PaineWebber received a double hit of bad news recently in this tough time for brokerages. Not only were they informed that the bonuses they receive for assets under control were being cut, but expense accounts are being trimmed as well.... I'm From the Government. I'm Here to Help YouDec 9, 2002,By Will Leitch The landmark Sarbanes-Oxley Act–passed this summer in the wake of the deluge of Enron and Worldcom-like scandals–was hurriedly put together, and much of the corporate world was left reeling, wondering what was now acceptable and what wasn’t.... Merrill Lynch Wins, Suit Dismissed by NASD Arbitration PanelDec 6, 2002,By Rick Weinberg Merrill Lynch won the dismissal of a $10.4 million suit filed by an investor. A three-person NASD arbitration panel threw out a suit filed by Habib Monas,... |
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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