Morgan Stanley Firing 950 BrokersNov 21, 2002By Rick Weinberg Morgan Stanley is firing 950 brokers, according to the various sources. The firm refused comment, but a source familiar with the situation confirmed that... SIA Kicks Off Conference TourNov 20, 2002By Ross Tucker Patrick McGurn, vice president and special counsel with Institutional Shareholder Services, said that even with a market recovery the industry will continue to feel the fallout of corporate scandals such as Enron, WorldCom, etc.... Times For Brokerages Still Tough, Analysts SayNov 18, 2002By Will Leitch Business has been so bad at brokerages for so long that one might ask when will this grinding bear market ever end. Although it is too early to tell,... Wealth Management R Us! The Gnomes of Zurich to Drop Kick the PaineWebber NameNov 12, 2002By Rick Weinberg This is the latest century-old name to be dumped in an ever-changing industry where financial services companies are consolidating. Morgan Stanley dropped Dean Witter from its name earlier this year, and Citigroup plans to drop the name Salomon, leaving its U.S. brokerage unit as Smith Barney.... UBS PaineWebber to Hire 500 BrokersNov 12, 2002By Rick Weinberg UBS PaineWebber Chairman Joseph Grano announced that the firm is going to hire up to 500 brokers during the next year. Grano says the firm is taking advantage... Fraud, Dishonesty Are Retail Investors’ Big ConcernsNov 11, 2002By Will Leitch As you might have guessed: Retail investors’ satisfaction with brokerages—and individual brokers—have declined, according to the Security Industry Association (SIA) annual investors’ attitudes survey.... The Doctor, Not the Rule BookSpeaking to the SIA, outgoing SEC Chief Pitt says the SEC enforced regulations with "unprecedented vigor."Nov 8, 2002By David A. Geracioti SEC Chairman Harvey Pitt received a standing ovation this morning after his speech to the Securities Industry Association’s annual convention in Boca Raton, Fla. The chairman, who resigned on election night, introduced his speech saying, that anyone who thought he wouldn’t make an appearance on the dais as scheduled at the industry’s annual event, took a "sucker’s bet."... The Doctor, Not the Rule BookNov 8, 2002By David A. Geracioti SEC Chairman Harvey Pitt received a standing ovation this morning after his speech to the Securities Industry Association’s annual convention in Boca Raton, Fla. The chairman, who resigned on election night, introduced his speech saying, that anyone who thought he wouldn’t make an appearance on the dais as scheduled at the industry’s annual event, took a "sucker’s bet."... SIA Conference: Let's Get Confident!Nov 7, 2002
It's official: It's a time for "building investor confidence." That’s the theme of this year’s Securities Industry Association gabfest, held at the tony Boca Raton Resort & Club in Boca Raton, Fla. Never mind that SEC Chairman Harvey Pitt resigned two days ago. Think positively.... Brokers Taking Hits from SurveysNov 6, 2002By Rick Weinberg Brokers continue to take hits for Wall Street’s research conflicts and the sluggish market, according to two recent polls that show investors are not seeking advice from brokers.... Managed Account Assets Slide in Q3; Improvement Seen in Q4Nov 6, 2002By Ross Tucker Separately managed account assets dropped 5.6 percent to $392.57 billion for the third quarter from $415.86 billion in the previous quarter, according to The Money Management Institute (MMI). But at least one industry insider sees business improving this quarter.... Dalbar Sets Up Product Rating ServiceNov 6, 2002
Want to know how valuable that contact management software is, or how useful that sales guru really can be? Dalbar aims to find out.... UntitledNov 4, 2002
By Carol X. Vinzant For registered reps leaving the safety of a wirehouse, picking the right firm for the back office work can be the hardest part. The... UntitledNov 4, 2002
The Firm: Capital Investment Management,Denver Principal: Christopher Pelley B/D Affiliation: Secrurities Service Network Year of Independence: 1992 Assets... UntitledNov 1, 2002
Is now a good time to go independent? With the market continuing its unnerving slide and the state of the economy still uncertain, it's a perplexing question.... Brokers React to Citi's Research MoveNov 1, 2002By Rick Weinberg and David A. Gaffen It was Smith Barney brokers who gave Sandy Weill the idea to hire Sallie Krawcheck, former head of Sanford C. Bernstein. Brokers had suggested that the Citigroup Chairman buy the independent research firm from Alliance Capital. Instead, he wound up hiring Krawcheck to head a new business unit of Citigroup that will operate under the name Smith Barney, and include the private client group.... UntitledOct 31, 2002
The Firm: Hudock Moyer Financial Advisors,Williamsport, Pa. Principal: Barbara Hudock and Jason Moyer B/D Affiliation: Wachovia Year of Independence:... UntitledOct 31, 2002
The Firm: Smedley Financial Services Inc.,Salt Lake City Principal: Roger Smedley B/D Affiliation: Securities America Year of Independence: 1983 Assets... UntitledOct 31, 2002
The Firm: The Lowry Group,Gainesville, Fla. Principal: Joe Lowry B/D Affiliation: Investacorp Year of Independence: 1994 Assets Under Management: $60... PRIMEDIA’S REGISTRED REP. HONORED WITH 2002 PUBLISHING AWARDOct 30, 2002
New Page 1 Registered Rep. Recognized For Design Excellence New York - October 30, 2002 PRIMEDIA’s Registered Rep. magazine, the source for investment... UntitledOct 30, 2002
Is now a good time to go independent? With the market continuing its unnerving slide and the state of the economy still uncertain, it's a perplexing question.... UntitledOct 30, 2002
The Firm: Nathan & Lewis Securities,Feasterville, Pa. Principal: Scott Holstein B/D Affiliation: Nathan & Lewis Year of Independence: 2001 Assets Under... UntitledOct 30, 2002
The Firm: Jeb Bashaw & Co., Houston Principal: Jeb Bashaw B/D Affiliation: Linsco/Private Ledger Year of Independence: 2001 Assets Under Management: $100... UntitledOct 30, 2002
The Firm: Foundation Asset Management,Blue Bell, Pa. Principal: Jeffrey Heinel B/D Affiliation: The Investment Center Year of Independence: 1995 Assets... Morgan Stanley Opposes FineOct 29, 2002By Rick Weinberg Following the New York Attorney General’s investigation of Merrill Lynch’s research practices, the firm was fined $100 million in what company president...
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