Merrill’s Magic Production Bullet?Mar 25, 2002,By Rick Weinberg Merrill Lynch is in the process of rolling out a nationwide program that it claims can help reps double their business within 12 to 18 months. The practice-enhancing... Merrill’s Magic Production Bullet?Mar 25, 2002,By Rick Weinberg Merrill Lynch is in the process of rolling out a nationwide program that it claims can help reps double their business within 12 to 18 months. The practice-enhancing... Cerulli: Salomon Smith Barney Leads Managed AccountsMar 21, 2002,By Rick Weinberg Salomon Smith Barney was the nation's largest distributor of managed accounts last year, according to a Cerulli Report on broker-sponsored separate accounts.... SunTrust Reps Offer New Fee-Based, Mutual Fund Asset Allocation ServicesMar 19, 2002,By Rick Weinberg SunTrust Securities has introduced fee-based, mutual fund asset allocation services for its brokers to aim at retail investors. The Atlanta-based registered... Survey: Financial Planners More Honest than Brokers, But Insurance Agents Rank LowerMar 19, 2002,By Rick Weinberg In an investor confidence survey by TowersGroup, financial planners received among the highest ratings for honesty and integrity while stockbrokers received... Morgan Stanley Foils Tax Fraud Scheme Against NBA OwnerMar 15, 2002,By Rick Weinberg A Morgan Stanley office in Southern California foiled a tax-refund check scheme involving Los Angeles Lakers owner Jerry Buss. The two men accused of... Annual NMHC Ranking of Top Apartment FirmsMar 15, 2002
New Page 1 Contact: Kimberly Duty, (202) 974-2333, kduty@nmhc.org FOR IMMEDIATE RELEASE www.nmhc.org March 15, 2002 ANNUAL NMHC RANKING OF TOP APARTMENT... Smith Barney Investigated By NYSE, Sources SayMar 15, 2002,By David A. Gaffen The New York Stock Exchange is investigating the way in which brokers at Salomon Smith Barney handled accounts of WorldCom employees who held stock options, say two attorneys who are familiar with the investigation. The news comes after the filing of a suit by two former brokers in its Atlanta office who were fired after Smith Barney received more than two dozen complaints from current and former WorldCom employees who held accounts there.... Brokers Serving as Branch Managers Under NYSE MicroscopeMar 13, 2002,By Rick Weinberg The NYSE is conducting a survey with securities firms to find out how they monitor brokers who also manage branch offices, according to brokers and branch... The Securities Industry: Is This the Beginning of the End of the Bad News?Mar 12, 2002,By Tom Philpott Wall Street research departments are busily selling a late-year recovery story. For clients ready to believe this scenario, it might be time to park some cash in the big investment banks/brokerages, some analysts say.... RBC Dain Rauscher Completes Merger With SutroMar 11, 2002,By Rick Weinberg RBC Dain Rauscher put the finishing touches on its merger with Tucker Anthony Sutro & Co., creating the nation's ninth largest full-service brokerage... Merrill to Focus More On Wealthy in Japan, Komansky Says U.S. Market Has Bottomed OutMar 8, 2002,By Rick Weinberg Mirroring its focus on high net worth investors in the U.S., Merrill Lynch has decided to concentrate on wealthy individuals in Japan. To do that, Merrill... Whose Money Is It Anyway?Solly Smith Barney Reps Lose CAP RequestMar 6, 2002,By Rick Weinberg Several former Salomon Smith Barney brokers seeking the authorization to start a national class action suit against the firm’s Capital Accumulation Plan (CAP) had their request rejected by a federal judge in Boston, according to attorneys. An appeal has been filed with a higher federal court, attorneys say. The brokers were advised by lawyers to seek a "federal-level class" so they can charge Smith Barney and parent Citigroup with violations involving CAP, the firm’s deferred compensation... ANNUAL NMHC RANKING OF TOP APARTMENT FIRMSMar 5, 2002
New Page 1 Contact: Kimberly Duty, (202) 974-2333, kduty@nmhc.org FOR IMMEDIATE RELEASE www.nmhc.org March 15, 2002 ANNUAL NMHC RANKING OF TOP APARTMENT... Morgan Stanley Begins Charging Fees on Basic Accounts, Raises Costs for Other ServicesMar 1, 2002,By Rick Weinberg Morgan Stanley has begun charging clients for basic brokerage services that were previously free, according to brokers from the firm. The firm also raised... A.G. Edwards To Slash 400 Jobs, Brokers UnaffectedMar 1, 2002,By Rick Weinberg For the first time in its 115-year history, A.G. Edwards is cutting its workforce, but the St. Louis-based company says its broker force of around 7,300... Brokers Sue Salomon Analyst Jack GrubmanFeb 28, 2002,Press Release New Page 4 Brokers Sue Salomon Analyst Jack Grubman Former Salomon Smith Barney brokers blame the telecom booster for losses by WorldCom employees who... Despite Merrill's Poor Year, O'Neal, Komansky Get Seven-Figure BonusFeb 28, 2002,By Rick Weinberg Merrill Lynch’s Stanley O’Neal and David Komansky were “limited” to $1 million cash bonuses in 2001, but the top two company executives received additional... RR Online Exclusives, 2001Feb 28, 2002
The complete 2001 Registered Rep. Online Exclusives archive.... Morgan Stanley To Launch New Branding CampaignFeb 28, 2002,By Rick Weinberg Morgan Stanley is in the process of developing a new global branding campaign, yet the firm will not reveal the full details of the plan. The new branding... Smith Barney Responds to Broker SuitFeb 26, 2002,By David A. Gaffen Salomon Smith Barney, which was named in a suit yesterday by two of its former brokers in an Atlanta branch, said late yesterday that the counter-suit was without merit, largely relying on "hindsight" from the complaining parties--both the brokers and the original complaints from its customers.... Brokers Sue Salomon Analyst Jack GrubmanFeb 25, 2002
New Page 2 Brokers Sue Salomon Analyst Jack Grubman Former Salomon Smith Barney brokers blame the telecom booster for losses by WorldCom employees who... Brokers Sue Salomon Analyst Jack GrubmanFeb 25, 2002,Registered Rep New Page 2 Brokers Sue Salomon Analyst Jack Grubman Former Salomon Smith Barney brokers blame the telecom booster for losses by WorldCom employees who... Brokers Sue Salomon Analyst Jack GrubmanFeb 25, 2002,Press Release New Page 1 Brokers Sue Salomon Analyst Jack Grubman Former Salomon Smith Barney brokers blame the telecom booster for losses by WorldCom employees who... Brokers Sue Salomon Smith Barney and Analyst Jack GrubmanFeb 25, 2002,By David A. Gaffen, Senior Editor Two Salomon Smith Barney brokers charged with a number of customer complaints by WorldCom employee-shareholders have filed a cross-claim against the firm and a third-party claim against its high-profile telecom analyst, Jack Grubman, Registered Rep has learned. The brokers, Phillip Spartis and Amy Elias, accuse Smith Barney of settling the WorldCom suits, rather than defending them, thereby destroying the brokers' prospects in the brokerage business.... |
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
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