NEWS ANALYSIS Better Late Than Never: Levitt Knocks MarketsApr 18, 2001
Jan. 9, 2001 SEC Chairman Arthur Levitt Jr. yesterday took a swipe at the equity markets in a speech delivered at Stanford University. The commission... Consultant Organizations IMCA, ICIMC Consider MergerApr 18, 2001
Jan. 10, 2001 Merger talks between the Investment Management Consultants Association (IMCA) and the Institute for Certified Investment Management Consultants... Jones’ A-Share Annuities Growing at 20% Annual Rate, Firm Discouraging B-share Products, Reps SayApr 18, 2001
Jan. 12, 2001 Edward Jones’ A-share annuity sales were about $400 million in the past year and are growing at an annual rate of more than 20%, the firm... AEFA’s New Broker Platforms Hurting ResultsApr 17, 2001,Tom Nelson The new work options at American Express Financial Advisors are contributing to the company’s financial weakness. American Express announced April 2 that... First Union Securities Will Become Wachovia SecuritiesApr 16, 2001,Mike Hayes First Union announced this morning that it is buying Wachovia Corp. and adopting its corporate identity. First Union Corp. will become Wachovia Corp.,... Law.com On Rubin & Associates—The Firm That Sues BrokersApr 13, 2001,Rick Weinberg, Online Editor When a broker jumps from one firm to another, and the firm sues--claiming its customer lists are a trade secret and that former employees shouldn’t be... Merrill Lynch Becoming Top Trust PlayerApr 12, 2001,Tom Nelson, Senior Writer Merrill Lynch is making some waves in the trust business. “[Merrill] has certainly bulked up in hiring and marketing,” says Jonathan Blattmachr, head... Pru’s IPO Filing Reveals Turnover ProblemApr 10, 2001,Rick Weinberg, Online Editor According to Prudential Insurance Co.’s initial public offering document filed yesterday at the SEC, the firm’s brokerage unit ended 2000 with 5,883 reps... Salomon Smith BarneyApr 5, 2001
Here are all of the comments RR heard from Salomon Smith Barney brokers. A "Even though there’s serious problems at the branch level, I think this is... Merrill Pushes New Team PhilosophyApr 5, 2001,Mike Hayes, Senior Editor Merrill Lynch is placing “a major emphasis on teams” this year, offering brokers more training programs, best practices guidelines, sample business plans,... First Union SecuritiesApr 5, 2001
Here are all of the comments RR heard from First Union brokers. A "They are highest level in terms of investment consulting research/fee-based programs.... Merrill LynchApr 5, 2001
Here are all of the comments RR heard from Merrill Lynch brokers. A "[Merrill does a good job at] keeping client interests first. What is the right thing... Morgan Stanley Dean WitterApr 5, 2001
Here are all of the comments RR heard from Morgan Stanley Dean Witter brokers. A "Our equity research is the best, best in the field. Our level of ethics... A.G. EdwardsApr 5, 2001
Here are all of the comments RR heard from A.G Edwards brokers. A "We focus on client rather than product. We’re a conservative firm so there is no focus... Edward JonesApr 5, 2001
Here are all of the comments RR heard from Edward Jones brokers. A "They are what they present themselves to be. They are ethical, equitable and fair.... PaineWebberApr 5, 2001
Here are all of the comments RR heard from PaineWebber brokers. A "Things are OK here. The best thing about PaineWebber is the freedom and the entrepreneurial... Prudential SecuritiesApr 5, 2001
Here are all of the comments RR heard from Prudential brokers. A No comments. B "Our entire pricing strategy is confusing to the client and the broker."... Morgan Stanley Says No Broker LayoffsApr 4, 2001,Tom Nelson, Senior Writer Morgan Stanley is today saying that it will not lay off any brokers. The firm is responding to a Wall Street Journal story in today’s paper that says... First Union Contemplates Independent Broker Channel ExpansionApr 3, 2001,Mike Hayes, Senior Editor Fresh off the heels of its JW Genesis acquisition, First Union Corp. wants to expand its platform for independent brokers, says Don McMullen, vice chairman... Morgan Stanley Name Change OfficialApr 3, 2001,Rick Weinberg, Online Editor Morgan Stanley Dean Witter officially became Morgan Stanley on Monday, shortening its name because the firm considered it “unwieldy.” The firm decided... Dent Doesn’t Back Down, Still Predicts Dow to Hit 36,000Mar 30, 2001,Tom Nelson, Senior Writer Despite current upheavals in the markets, author and demographer Harry Dent is standing by his contention that the Dow could hit 36,000 by 2007 or 2008.... The Independent LifeMar 29, 2001,RR Staff Being an independent rep can impact all aspects of your life. In this section, meet brokers at work, at play and in the process of prepping for the future. Plus, learn what Registered Representative's exclusive survey reveals about independent contractors and their businesses.... Merrill Retail Profits Jumped 17% in 2000Mar 28, 2001,Mike Hayes, Senior Editor Merrill Lynch’s pretax earnings from its retail operation jumped 17% to $1.6 billion for the year 2000. According to a 10-K report filed with the SEC... RJFS CEO Predicts Significant Jumps in Reps, Fee-Based PlanningMar 27, 2001,Rick Weinberg, Online Editor Raymond James Financial Services, which grew to a record 3,909 brokers in 2000, projects to increase at an average rate of 500 brokers per year over the... Employees Bound by Arbitration Agreements, Supreme Court SaysMar 22, 2001,Dan Jamieson, Editor in Chief The U.S. Supreme Court yesterday made clear that employees are bound by agreements to arbitrate employment disputes. The case, Circuit City Stores v.... |
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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