Rich Investors Playing a More Active Role in Financial PlanningJul 16, 2002,By Ross Tucker Wealthy clients are becoming more savvy about investment opportunities, and that’s leading to a more collaborative relationship between them and their advisors, according to a Spectrem Group study.... Prudential Responds to "Chip Off the Old Rock" ArticleJul 16, 2002
... Account Aggregation Interest SluggishJul 12, 2002,By Rick Weinberg When account aggregation was first introduced four years ago, many brokers were ecstatic. With the new technology, clients could view all their account information via a single website. But interest is still low, according to a Spectrem Group report.... Reps’ Earnings Suffered Double-Digit Loss in 2001. New Reps Had It Worst, According to New SIA StudyJul 10, 2002,By Betsy Riley It’s official: 2001 stunk, with average total earnings plummeting by 17.7 percent in 2001 compared to 2000. But, on the bright side, more reps are switching to the much-extolled fee-based business model.... Regional Firms Get High Marks for Service: J.D. Power StudyJul 10, 2002,By Ross Tucker Investors of late have been more impressed by regional brokerage firms, which they feel are providing better services than most industry giants, according to J.D. Power and Associates’ first Full-Service Investor Satisfaction Study.... SSB’s Grubman Tells House Committee that He Had No Knowledge of WorldCom Fraud, “Saddened” that Investors Lost MoneyJul 8, 2002,By Rick Weinberg Salomon Smith Barney telecom analyst Jack Grubman said today at a hearing before the House Financial Services Committee that he regretted not lowering... Shopping Center World Ranks The Top Retail Contractors ...Jul 2, 2002,Shopping Center World New Page 1 Primedia’s Shopping Center World Ranks The Top Retail Contractors For 2002 Annual Ranking Recognizes the Leaders in the Industry Atlanta, Georgia... SIA Lowers Profit Forecast and Warns of More Job CutsJul 2, 2002,By Ross Tucker Faced with first quarter results well below expectations, continued weak economic conditions and withering investor confidence, the Securities Industry Association lowered second-quarter and full-year profit estimates and forecast more layoffs.... Report: Number of Wealthy Women RisingJul 2, 2002,By Rick Weinberg The number of wealthy women is growing globally and is "destined to rise" even further, according to a Merrill Lynch study.... NASD Tool Helps Brokers Spot TerroristsJul 2, 2002,By Rick Weinberg he NASD has launched a new Web-based tool to help brokers identify terrorists and avoid doing business with potential money launderers, the firm says.... Shopping Center World Ranks The Top Retail Contractors For 2002Jul 2, 2002
New Page 1 Primedia’s Shopping Center World Ranks The Top Retail Contractors For 2002 Annual Ranking Recognizes the Leaders in the Industry Atlanta, Georgia... SSB Brokers Offered Estate Planning TrainingJun 26, 2002,By Rick Weinberg Salomon Smith Barney is rolling out an Advanced Planning specialist designation that will enable brokers to offer estate-planning services for a fee, according to the firm.... Morningstar Rolls Out Managed Account Tracking SystemJun 26, 2002,By David A. Gaffen The tone was somber at Morningstar’s 18th annual investment conference in Chicago this week, where fund managers are projecting a slow, weak rebound. Robert Rodriguez, principal and CEO of First Pacific Advisors, said he doesn’t expect solid economic recovery until next year.... Chip Off the Old RockJun 26, 2002,By David A. Gaffen In a tough market, the smallest wirehouse is having some of the biggest problems.... Fired Pru Reps Forced to Repay Signing BonusesJun 25, 2002,By Rick Weinberg When brokers are lured to a brokerage firm with an upfront signing bonus, they’re required to repay all or a portion of that bonus if they leave the firm. But what happens when they’re fired or laid off for lack of production in a down market? Well, Prudential brokers are about to find out. The troubled firm is demanding that laid-off brokers pay the balances on their signing bonuses.... Rich Clients Don’t Blame Brokers for Losses, But Losing Touch is a Sin: Phoenix StudyJun 19, 2002,By Rick Weinberg The good news: Wealthy people are mostly satisfied with the advice their financial advisors give them. The bad news: Advisors believe their clients are more dissatisfied with them than they really are.... Smith Barney Changes Annuity Payout PolicyJun 19, 2002,By Rick Weinberg The firm has decided to give reps 100 percent of what insurance companies pay in trails as gross compensation.... Spartis Cleared in Two WCOM Cases; Attorney Seeks Dismissal of OthersJun 18, 2002,By David A. Gaffen Phil Spartis, one of two former Salomon Smith Barney brokers currently suing their old firm, has been dismissed from two cases in which he was named in a suit by former WorldCom shareholders, according to documents obtained by Registered Rep. ... Shopping Center World Debuts New Feature...Jun 14, 2002
Primedia Primedia’s Sho pping Center World Debuts New Feature In Conjunction With American Demographics PRIMEDIA Integration Efforts Combine Market Data... Shopping Center World Debuts New FeatureJun 14, 2002
Primedia Primedia’s Sho pping Center World Debuts New Feature In Conjunction With American Demographics PRIMEDIA Integration Efforts Combine Market Data... Real Estate Group Honored With 2002 Publishing AwardsJun 13, 2002,National Real Estate Investor/Shopping Center World New Page 1 Primedia’s Real Estate Group Honored With 2002 Publishing Awards PRIMEDIA’s National Real Estate Investor and Shopping Center World Recognized... Primedia’s Real Estate Group Honored With 2002 Publishing AwardJun 13, 2002
New Page 1 Primedia’s Real Estate Group Honored With 2002 Publishing Awards PRIMEDIA’s National Real Estate Investor and Shopping Center World Recognized... Legal LinksJun 13, 2002
The Securities Industry Commentator provides free information to RRs and BDs concerning regulatory and litigation matters. Provocative articles by nationally-known... Wachovia, Fifth Biggest Brokerage, Searching for More RepsJun 11, 2002,By David A. Gaffen Expect Wachovia Securities to raise its profile in coming months following the Charlotte-based bank’s merger with First Union. In terms of client assets, Wachovia Securities ranks fifth among brokerage firms with $275 billion, but is hardly ever mentioned in the same sentence as the four wirehouses ranked above it.... Brokers Applaud CBS For Rejecting Aggressive Schwab AdJun 10, 2002,By Rick Weinberg Brokers are applauding CBS for refusing to air a 30-second TV commercial from Charles Schwab that depicts full-service brokerage house reps as dishonest... |
Current Issue Asset-Gathering MachinesBY HALAH TOURYALAI In the first half of 2008, Camden Capital Management, a fee-only RIA in El Segundo, Calif., added $100 million to its growing pot of client assets... advertisement
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