NATIONAL REAL ESTATE INVESTOR RANKS BANK OF AMERICA AS THE No.1 DIRECT LENDER IN 2001Apr 8, 2002
New Page 1 PRIMEDIA’S NATIONAL REAL ESTATE INVESTOR RANKS BANK OF AMERICA AS THE No.1 DIRECT LENDER IN 2001 Results of the 11th Annual Top Lender Survey... National Real Estate Investor Ranks Bank of America as the No.1 Direct LenderApr 8, 2002National Real Estate Investor New Page 1 PRIMEDIA’S NATIONAL REAL ESTATE INVESTOR RANKS BANK OF AMERICA AS THE No.1 DIRECT LENDER IN 2001 Results of the 11th Annual Top Lender Survey... Former Smith Barney Brokers Say Tapes Prove Their InnocenceApr 5, 2002By David A. Gaffen The lawyer for two former Smith Barney financial consultants intends to argue that his clients offered opportunities for diversification at a Houston arbitration hearing scheduled to start Monday. Registered Rep. listened to taped conversation which, at various points between June 1999 and June 2000, indicate that former broker Amy Elias discussed diversification with WorldCom employee Robert Goss, and that she also set up phone meetings with financial and estate planners.... Enron Fallout Spreading to Include Merrill, Solly Smith Barney, J.P. Morgan Chase, Sources SayApr 5, 2002
According to a Houston attorney familiar with the Enron case, the suit will allege that Merrill promoted sales of Enron stock as the company was misstating its income and debt. But to win, Enron shareholders’ lawyers will have to prove that Merrill knew about the fraudulent bookkeeping and deliberately mislead them.... DB Alex. Brown Reps Campaign Against Name Change, Firm ListensApr 4, 2002By Rick Weinberg After a number of its 400 brokers campaigned against a name change, Deutsche Bank Alex. Brown did an about face and decided to dump the idea of dropping... Industry Fears More "Malpractice" Lawsuits in Aftermath of Merrill $3 million Arbitration HitApr 2, 2002By Rick Weinberg Now that Merrill Lynch has been slapped with a $3 million judgment in a case that claims, in essence, "financial malpractice," other Wall Street firms fear they could be next in the firing line, according to sources.... Calendar of Industry EventsMar 30, 2002
May May 2 SIA Anti-Money Laundering Compliance Conference The Waldorf-Astoria New York, NY Contact: Press- Christine Conlon, cconlon@sia.com General... Bucking A Trend, Ed Jones Adds Brokers To Workforce, Profits Continue To RiseMar 29, 2002B While some of Wall Street’s most powerful financial institutions like Merrill Lynch slash its retail brokerage workforce, Edward Jones is planning to... Morgan Stanley Survey: Most American Families Not Saving For Children's CollegeMar 29, 2002By Rick Weinberg More than half of American families who plan to send their children to college have not started saving to pay for it and are unaware of new tax-advantaged... Bucking A Trend: Ed Jones Adds Brokers To Workforce, Profits Continue To RiseMar 29, 2002By Rick Weinberg While some of Wall Street’s most powerful financial institutions like Merrill Lynch slash its retail brokerage workforce, Edward Jones is planning to add 3,000 rookie brokers to its retail sales force this year.... Two Investors Sue UBS PaineWebber for FraudMar 26, 2002By Rick Weinberg UBS PaineWebber has been sued for fraud by two investors who accuse the firm of making "manipulative and deceptive"' recommendations to buy Enron Corp. stock even as it was selling the stock for Enron executives, according to a suit filed in federal court in Houston.... UBS PaineWebber Sued Over Enron RecommendationsMar 26, 2002By Rick Weinberg UBS PaineWebber has been sued for fraud by two investors who accuse the firm of making ``manipulative and deceptive'' recommendations to buy and sell... Merrill’s Magic Production Bullet?Mar 25, 2002By 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, 2002By 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, 2002By 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, 2002By 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, 2002By Rick Weinberg In an investor confidence survey by TowersGroup, financial planners received among the highest ratings for honesty and integrity while stockbrokers received... Smith Barney Investigated By NYSE, Sources SayMar 15, 2002By 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.... Morgan Stanley Foils Tax Fraud Scheme Against NBA OwnerMar 15, 2002By 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... Brokers Serving as Branch Managers Under NYSE MicroscopeMar 13, 2002By 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, 2002By 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, 2002By 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, 2002By 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, 2002By 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...
Previous |
1
| 2
| 3
| 4
| 5
| 6
| 7
| 8
| 9
| 10
| 11
| 12
| 13
| 14
| 15
| 16
| 17
| 18
| 19
| 20
| 21
| 22
| 23
| 24
| 25
| 26
| 27
| 28
| 29
| 30
| 31
| 32
| 33
| 34
| 35
| 36
| 37
| 38
| 39
| 40
| 41
| 42
| 43
| 44
| 45
| 46
| 47
| 48
| 49
| 50
| 51
| 52
| 53
| 54
| 55
| 56
| 57
| 58
| 59
| 60
| 61
| 62
| 63
| 64
| 65
| 66
| 67
| 68
| 69
| 70
| 71
| 72
| 73
| 74
| 75
| 76
| 77
| 78
| 79
| 80
| 81
| 82
| 83
| 84
| 85
| 86
| 87
| 88
| 89
| 90
| 91
| 92
| 93
| 94
| 95
| 96
| 97
| 98
| 99
| 100
| 101
| 102
| 103
| 104
| 105
| 106
| 107
| Next
|
Financial Services Company Watch List
Market index values delayed 15 min advertisement Most Popular Storiesadvertisement Client Prospecting Snapshot
|
About UsRegistered Rep. is the most trusted digital and print source for the retail investment professional, serving brokers, financial advisors, RIA’s, IBD’s, insurance, financial planners, and financial product companies with award-winning insight coverage of the brokerage, wealth management, fund and financial product industry as well as breaking news, data, rankings, and profiles. |
Most Recent Blog Posts
Follow Us
In This Issue: May 2012
Back Issues
Registered Rep. eNewsletters
Subscribe today to get the news you need and information you want from our e-newsletters. To preview the current issue click on the newsletter below. Subscribe Today!
