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Bank & Financial

Magazine articles on banks, brokerages, and credit card companies.

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Finance & Investment / Derivatives & Trading

Current Bank & Financial Articles

BusinessWeek November 19, 2009 Maria Bartiromo	Steve Schwarzman Starts Warming Up The author talks to Blackstone's Steve Schwarzman about the state of the private equity market, changes on Wall Street, and the outlook for various types of investments.
BusinessWeek November 19, 2009 James C. Cooper	Business Outlook: A Lifeline of Credit for the Recovery Lending remains tight, but overall bank standards are relaxing, and that will make it possible for businesses to expand as demand picks up
The Motley Fool November 19, 2009 Morgan Housel	You Lie, Goldman Sachs Taxpayers' bailout of AIG may have saved Goldman's life.
The Motley Fool November 19, 2009 Rick Aristotle Munarriz	You're No PayPal, AmEx The financial services giant is paying $300 million for Revolution Money, the online payment platform, but it doesn't have a PayPal killer on its hands.
Registered Rep. November 17, 2009 John Aidan Byrne	McCann Sets Ambitious Targets for UBS The chief executive of UBS' Wealth Management Americas also reiterated his profitability target of 15 to 20 percent for the division, and set a goal of CHF1 billion for annualized pre-tax profit.
The Motley Fool November 17, 2009 Morgan Housel	TARP's Problem Children Forty-six banks not only still hold funds, but aren't paying the preferred dividends they owe.
The Motley Fool November 17, 2009 Morgan Housel	What "Too Big to Fail" Means They screw up. We pay. We want a system where bank failures wreak havoc on stakeholders of just that bank, and nothing else.
Bank Systems & Technology November 16, 2009 Maria Bruno-Britz	BAFT, IFSA Announce Plan to Merge The two largest trade groups for global transaction banking say that by becoming one, they can better service the GTS community.
The Motley Fool November 16, 2009 Tim Beyers	Anyone Can Make Money Doing This Don't let a bad economy force you into a bad deal from your bank or from your credit card company.
Bank Systems & Technology November 12, 2009 Katherine Burger	Experian Introduces Products That Help Lenders Determine Consumers' "Ability to Pay" Solutions are intended enable lenders to assess a consumer's income in alignment with new lending requirements.
The Motley Fool November 13, 2009 Morgan Housel	Housing Policy That Makes a Tiny Bit of Sense Rent your home from the government. News that Fannie Mae is starting a program to lease homes back to homeowners on the brink of foreclosure makes some sense.
The Motley Fool November 13, 2009 Moscovitz & Housel	It's Time to End 'Too Big to Fail' We spent the latter half of 2008 feeling the wrath of "too big to fail." Today, banks are bigger than ever. We need to end that. Now.
Bank Systems & Technology November 12, 2009 Maria Bruno-Britz	Hackers Exploit Prepaid Payroll Cards Cyber criminals accused of breaking into RBS WorldPay's systems and exploiting payroll cards may indicate a new trend.
BusinessWeek November 12, 2009 Amy Feldman	Buddy, Can You E-Mail Me 100 Bucks? The Next Big Thing in U.S. banking may be mobile person-to-person money transfers.
BusinessWeek November 12, 2009 Barry Schwartz	The Dark Side of Incentives They consistently backfire when efforts to boost bonuses override moral considerations. So now there's a lot of talk about making incentives smarter for Wall Street firms.
The Motley Fool November 12, 2009 Morgan Housel	Understanding Goldman Sachs Trading, with a sprinkle of banking on the side, is what Goldman Sachs does.
The Motley Fool November 12, 2009 Anand Chokkavelu	The Bank You Need to Buy It's probably not the one you're guessing.
The Motley Fool November 12, 2009 Matt Koppenheffer	Is Goldman's Stock a Risk Worth Taking? Looking at Goldman with an investor's eye, we have to consider whether the potential rewards are worth the risk that we face from its massive trading operation.
Bank Systems & Technology November 11, 2009 Maria Bruno-Britz	Banking Groups React to Sen. Dodd's Draft Regulatory Legislation With a Big 'No' Although organizations approve of the Senate's efforts, they say it goes too far in undermining those aspects of financial services that actually work.
Registered Rep. November 10, 2009 David A. Geracioti	Merrill Integration Ahead of Schedule, Says Lewis An article in the New York Post claims Merrill Lynch advisors are annoyed with Bank of America's (BoA) efforts to get them to offer their clients BoA checking accounts, but Ken Lewis says that's not true.
CIO November 11, 2009 Jeremy Kirk	New Markets: Apps That Use Your Phone to Fight Credit Card Fraud SMS service notifies customers when their cards are charged, helping them identify fraudulent transactions faster.
The Motley Fool November 11, 2009 Dan Caplinger	This Awful Investment Should Just Die One market commentator has suggested that the Investor Protection Act could force brokers to stop selling a particular class of mutual funds, those known as "C" shares.
Bank Systems & Technology November 7, 2009	Citigroup Issues Employees Stock Options The giant U.S. bank Citigroup says it is distributing stock options to its employees in a bid keep them on board at the bailed-out institution.
Bank Systems & Technology November 6, 2009	Frank Lambasts Credit Card Companies U.S. credit card companies have done an end run around tighter credit card laws that take effect in February, Rep. Barney Frank, D-Mass., said.
Bank Systems & Technology November 5, 2009 Maria Bruno-Britz	Fiserv Promotes P2P Payments Service Fiserv unveiled its plans for person-to-person payments that put the bank at the center of transactions, not a third party.
The Motley Fool November 10, 2009 Kris Eddy	Who's Watching the Bankers? Three banks failed after qualifying for reduced scrutiny.
The Motley Fool November 10, 2009 Morgan Housel	Ex-Citigroup Chief: You're Right, That Was Dumb You should listen to him. John Reed's comments are one of the strongest signals yet that major bank reform is not only necessary, but gaining support.
Registered Rep. November 9, 2009 Kristen French	BofA Pressures Merrill FAs To Sell Bank Products Some of Merrill Lynch's 15,000 financial advisors are feeling pressure to sell parent company Bank of America's checking and savings account products -- and they're not happy about it.
The Motley Fool November 9, 2009 Sean Ryan	Pawn Lenders Looking More Like Kings A confluence of trends looks ready to push pawn lenders higher. The declining availability of credit should spur more demand for pawn loans, and rising gold prices should make those loans more profitable.
The Motley Fool November 9, 2009 Dave Mock	A Big Upgrade for Rodman & Renshaw All Motley Fool analysts following investment bank Rodman & Renshaw are bullish, lifting the stock to a five-star rating.
Registered Rep. November 6, 2009 Stan Luxenberg	Mutual Funds to Sell or Avoid Investors should be wary, underweighting these pricey funds -- or staying away altogether.
Bank Systems & Technology November 5, 2009 Maria Bruno-Britz	News From BAI: S1, FIS Use Paypal for P2P Payments Both companies will offer similar person-to-person payments that leverages PayPal's global network.
Bank Systems & Technology November 2, 2009 Nathan Conz	HSBC Leverages Online Commenters in Marketing Campaign HSBC has teamed with blog and article commenters on nymag.com as part of the bank's recent marketing campaign.
The Motley Fool November 7, 2009 Kris Eddy	Walk of Shame: You Be the Judge Which choice is the most shameful of the week concerning ads for the new Droid phone, the Federal Reserve's decisions on interest rates, CEO corporate conduct, Volcker's plans for the finance industry, and cash for electronic golf carts.
Registered Rep. November 4, 2009 Bill Singer	Rep. Bachus Slips One In (Not Everyone Is Cheering) Has Capitol Hill taken its legislative legerdemain to new depths?
Bank Systems & Technology November 3, 2009 Maria Bruno-Britz	News from BAI: SunTrust Piloting Moneta Solution for Internet Payments Moneta will enable SunTrust customers to make purchases online directly from their SunTrust bank accounts.
U.S. Banker October 2009 Joseph Rosta	#2 Cece Sutton After Morgan Stanley appointed Cece Sutton president of the new retail banking group, bank deposits grew to $46.8B by the end of the first quarter of 2009.
The Motley Fool November 6, 2009 Alex Dumortier	Inside Goldman's Money Machine Goldman Sachs' quarterly report gives investors a peek at just how consistently profitable its trading activity was in the third quarter.
The Motley Fool November 6, 2009 Jennifer Schonberger	Is It Time to Buy Regional Banks? Given the continued troubles, should you invest in regional banks now? If you are considering it, here are six possible contenders for your portfolio.
BusinessWeek November 5, 2009 Maria Bartiromo	The Enduring Anger of Hank Greenberg A conversation with former AIG CEO Hank Greenberg.
Bank Systems & Technology October 28, 2009 Maria Bruno-Britz	STAR Network to Enable Prepaid Reload First Data's STAR EFT network is now capable of loading and reloading prepaid cards.
The Motley Fool November 5, 2009 Kris Eddy	Money Lenders Preach Their Gospel Religion, politics, and money are mixing it up in the churches of England. With U.K. unemployment at a 14-year high and citizens angry over a government bailout of lenders, bankers in the country are taking their message to the pews.
The Motley Fool November 5, 2009 Morgan Housel	Credit Card Regulation: Grasping at the Past The House of Representatives passed a bill to up the start date on credit card reform from February 22, 2010, to right away, to prevent customers being taken advantage of.
Bank Systems & Technology November 3, 2009 Maria Bruno-Britz	In Channel Projects, Banks Look for Simpler Solutions The new economic conditions are dictating smarter use of resources among banks as they enhance their channels.
Bank Systems & Technology November 1, 2009	Big Lender in Historically Huge Bankruptcy CIT Group Inc. filed Sunday for bankruptcy protection, a move analysts said could cost U.S. cost taxpayers $2.3 billion.
The Motley Fool November 4, 2009 Morgan Housel	MasterCard Is Stabilizing Global consumers aren't dead yet.
Registered Rep. November 3, 2009 Halah Touryalai	ING Broker-Dealers Sold to Private Equity Firm The anticipated sale of the ING broker/dealer network is official -- the struggling Dutch parent company shed the three independent firms to a private equity firm for an undisclosed amount.
Bank Director 4th Quarter 2009 Bert Ely	The Outlook for the FDIC's Deposit Insurance Fund An outline of what bank directors need to know about the FDIC insurance fund reform.
Bank Director 4th Quarter 2009	For Your Review What financial institutions directors are thinking about-the results of 2009 research by Corporate Board Member and PricewaterhouseCoopers LLP... What's ahead for banking...
Bank Director 4th Quarter 2009 Frank Aquila & Peter Naismith	Directing Within the "Zone" Poor economic conditions and lack of credit combine to create new challenges for bank directors.
Bank Director 4th Quarter 2009 Kenneth L. Glascock	Internal Audit: Boosting Your ROI A high-performance audit function can help the bank and board achieve its risk-adjusted goals.
Bank Director 4th Quarter 2009 Jim Freer	Capital Management: Banking's Trickiest Juggling Act More than ever, directors are keeping their eyes fixed on the balance sheet, in an effort to reach perfect harmony between regulatory soundness and profitability.
Bank Director 4th Quarter 2009 John R. Engen	The Sinking of a Titan In a saga that involved marathon board meetings and dramatic offers/counteroffers, the forced sale of one of the nation's largest institutions serves as a reminder that liquidity and market perception matter most in the end.
The Motley Fool November 3, 2009 Alex Dumortier	Is There a $10 Billion Hole in Citi's Balance Sheet? Will the accountants come home to roost?
The Motley Fool November 3, 2009 Morgan Housel	Goldman Sachs vs. the Tax Man Earth to Goldman: No one likes you.
Advisor Today November 2009 Kerry Johnson	Prospecting Techniques That Work Use these Circle of Friends techniques to gain more senior clients.
Registered Rep. October 29, 2009 Kristen French	RJFS Raises RIA minimums, LPL Pulls Past RJ in RIA Assets Raymond James is raising minimums for new RIAs who want to custody assets on its RJFS-IAD platform from $30 million to $50 million.
CFO November 1, 2009 Kate O'Sullivan	After the Storm What impact will the recession have on your career prospects?
CFO November 1, 2009 Scott Leibs	Career Opportunities Finance executives are choosing sides on whether they've been helped or hurt by the economic crisis.
CFO November 1, 2009 Marie Leone	A New Window on Cash Emerging standards for electronic cash transactions promise to shed more light on liquidity and cash flow.
Financial Planning November 1, 2009 Paul Menchaca	LPL: "We've Arrived" Twenty years after the San Diego-based company was formed through the merger of Linsco and Private Ledger, LPL appears to have lapped its rivals, leaving nothing in its rearview mirror.
Financial Planning November 1, 2009 John J. Bowen Jr.	Getting the Right Help Financial services firms aren't doing enough to support the transition to wealth management.
Financial Planning November 1, 2009 Menchaca & Schultz	Citi Limits? Citi Personal Wealth Management's plan to build a fee-only investment advisory business, announced on Oct. 5, is a bold move into the RIA space.
Financial Planning November 1, 2009 Robert Pozen	Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors.
Financial Planning November 1, 2009 Donald Jay Korn	Loaded for Bear A year after the worldwide nosedive, though, things look brighter for managed accounts.
Financial Planning November 1, 2009 Donald B. Trone	Restoring Trust Fiduciary responsibility is based on trust, whether it is formally and legally defined or simply conveyed by the level of confidence one party has in another.
Financial Planning November 1, 2009 Daniel Moisand	End of Year Review There have been endless stories about retirees picking up the pieces. Unfortunately, this devastation could have been prevented through proper financial planning.
Financial Planning November 1, 2009 Julian Block	A New Standard As the end of the year nears, clients are once again starting to think about their tax returns. Now more than ever, qualified financial advisors should be ready to provide some information on the choices taxpayers must make.
Financial Planning November 1, 2009 Martin M. Shenkman	Are Clients Aware? Planners should capitalize on the buzz of Estate Planning Awareness Week by reaching out to clients.
Financial Planning November 1, 2009 Jim Grote	Family Planning Outside big cities like Chicago and St. Louis, the market for family-office services in the Midwest remains uncultivated.
Financial Planning November 1, 2009 Marion Asnes	Lessons from FPA While the majority of attendees at the FPA National Conference had a cloudy disposition, the youngest and oldest financial planners were still optimistic.
Financial Planning November 1, 2009 Donna Mitchell	Earnings Trends Everyone knows these have been tough times, but the good news is that although earnings were down in 2008, and may well be down in 2009, advisory firms still plan to hire and soon.
Financial Planning November 1, 2009 Donna Mitchell	Year-End Review Here are some questions for registered investment advisers to answer while annually reviewing their policies and procedures.
Financial Planning November 1, 2009	Thinking Ahead Keeping abreast of cutting-edge industry thinking is a must for advisors hoping to maintain a competitive advantage over their peers.
Financial Advisor November 2009 Jeff Schlegel	The Great Debate Financial services reform is coming. How will it impact advisors?
Financial Advisor November 2009 Clifford Caplan	MPT in a Black Swan Universe Advisors need to consider how catastrophic events could help portfolios outperform.
Financial Advisor November 2009 Andrew Gluck	Restoring Order A practice management expert offers ten tips for creating your 2010 advisory business plan.
Financial Advisor November 2009 David Lawrence	Different Light Two recent conferences look at economic pressures on advisors, but from different perspectives.
Financial Advisor November 2009 Bill Bachrach	Talking The Talk Communication skills are the key to getting more and better clients in any economic environment.
Financial Advisor November 2009 Mitch Anthony	A Promise We Can Keep The Return On Life value proposition tells clients you will help them get the most from the money they have.
Financial Advisor November 2009 Mary Rowland	Passing It On Advisors who want to capture inter-generational wealth must focus on the people side of business.
Financial Advisor November 2009 Caren Chesler	Family Bonds Clients face both financial and emotional traps when they loan money to family.
Financial Advisor November 2009 Gail Liberman	A New Game With credit companies tightening their lending, some clients may need help in making the right decisions to maintain their credit scores.
Financial Advisor November 2009 Bruce W. Fraser	Shifting Landscape A shifting economic environment is also changing financial advisors' practice management world.
Financial Advisor November 2009 Raymond Fazzi	Tales Of Breakaway Brokers Fridays on Wall Street not only signal the end of the workweek. For many breakaway brokers, the day marks the end of their wirehouse careers.
Financial Advisor November 2009 David J. Drucker	Listening More, Talking Less With Barbara Culver's Purposeful Planning, the humanistic side of financial advice takes on a new dimension.
Financial Advisor November 2009 Joel P. Bruckenstein	WealthStation Revisited SunGard's WealthStation platform offers more for broker-dealers than ever before, and what it offers independents continues to grow.
Financial Advisor November 2009 Thomas J. Straka	Does Your Client Own Timberland? - Part I Over ten million individuals and families own timberland. Is it a neglected aspect of your client's portfolio?
Financial Advisor November 2009 Thomas J. Straka	Does Your Client Own Timberland? - Part II Over ten million individuals and families own timberland. Is it a neglected aspect of your client's portfolio?
Financial Advisor November 2009 Eric L. Reiner	You Make The Call The decision to switch clients to Roth is anything but clear.
Financial Advisor November 2009 Deborah L. Jacobs	Lemons Into Lemonade Whether the recession lingers in 2010 or the economy picks up, clients who transfer property now can reduce the size of a taxable estate while giving their beneficiaries substantial potential for those assets to increase in value later.
Financial Advisor November 2009	Advisor Emporium New organization will act as a liaison between investment advisors and asset managers... Grail Creates New ETFs... iShares Announces New Fund... Islamic Developing World Fund Offered... State Street Global Launches ETF... more...
Financial Advisor November 2009	Frontline News Advisor News: Poll on advisor pay... Citi Embracing Fee-Only Model... RIAs Set Record For Repurchasing Their Firms... FINRA Expands Arbitration Pilot Program... SEC Expects To Examine 9% Of RIAs Annually... more...
Financial Advisor November 2009 Evan Simonoff	The Client Paradox For advisors, it's one thing to sense an opportunity. But when you are going through as much emotional stress as most have, it requires a great deal of intestinal fortitude to go out and try to capitalize on it.
Investment Advisor November 2009 James J. Green	Tried and True Optimism reigned at a round-table of registered independent advisors who kept the faith while being tempered by the fires of recession, fraud, and volatility.
Investment Advisor November 2009 D.J. Gannon	Small World Financial reporting standards will eliminate many of the adjustments investment advisors historically have made to allow companies' financials to be more comparable internationally.
Investment Advisor November 2009 Melanie Waddell	Danger & Opportunity: Healthcare, Financial Services Reform Making Headway Two of the Obama Administration's top priorities to accomplish by year-end -- healthcare and financial services reform -- are well on their way to fruition.
Investment Advisor November 2009 James J. Green	At FPA Annual Gathering, Celebration and Resolve Advocacy and pro bono efforts are lauded, but attendance at the recent conference falls.
Investment Advisor November 2009 James J. Green	On the Sidelines for Some Time One of the main signs that investors remain skeptical about the economic recovery is that plenty of money remains on the sidelines.
Investment Advisor November 2009 James J. Green	Advisors Need to Think More Broadly, Act More Creatively In the tenth iteration of the Rydex AdvisorBenchmarking study lessons from the crisis can be gleaned.
Investment Advisor November 2009 Kathleen M. McBride	Merrill's Big Plans The importance of culture at the organization is what Sallie Krawcheck spoke of at her first press conference as president of Global Wealth Management & Investment Management at Bank of America Merrill Lynch.
Investment Advisor November 2009 James J. Green	FPA's Barry Is Optimistic The fiduciary issue remains central to the Financial Planning Association's lobbying efforts, and it has publicly voiced support for extending the fiduciary standard to the broker community.
Investment Advisor November 2009 James J. Green	Numerology: Fewer Assets, More Advisors Total assets managed by investment advisors shrank in 2008 but the number of SEC-registered investment advisors increased.
Investment Advisor November 2009	GroupThink Association news: A new universal standard of care to broker/dealers is urged... The Financial Planning Association and Janus Capital Group Inc. announced the winners of the 2009 Financial Frontiers Awards...
Investment Advisor November 2009	Upgrades Advisor Products: Laserfiche introduces PhotoDocs, a new document capture system... Fidelity's National Financial has debuted its Bank Deposit Sweep Program... Morningstar is beta testing a new product called Morningstar QuoteSpeed... more...
Investment Advisor November 2009	Changes Personnel moves and appointments in the financial services industry.
Investment Advisor November 2009	Asset Allocation This month's allocation numbers, with a summary from Gail Dudack of the Dudack Research Group.
Investment Advisor November 2009 Mark Tibergien	Formulas for Success: Cash Flow Cachet Failure to project and monitor cash flow monthly has caused many advisory firms to make ill-informed decisions.
Investment Advisor November 2009 Bob Clark	Clark at Large: The Times They Are a Changin' A new risk consciousness among advisors and clients may be the silver lining to the market meltdown.
Investment Advisor November 2009 Lewis Schiff	The Affluentialist: Reading Your Clients A key differentiator between financial advisors who help their client achieve positive returns and those who help their clients achieve superior returns is moral and emotional competency.
Investment Advisor November 2009 Angela Herbers	The Fast Track: The M Word Cometh Older and younger advisors both have a new appreciation for marketing.
Investment Advisor November 2009 Robert F. Keane	The Green Advisor: SRI & Green Investing Grow Up Many younger investors are demanding 401(k) options that reflect their values, "especially so-called green funds."
Investment Advisor November 2009 Savita Iyer-Ahrestani	Hispanics Need Advice This fast-growing segment of U.S. population offers a great opportunity for advisors.
Investment Advisor November 2009 James J. Green	B/D Briefing: Citi Brokers Switch to Fees Citi Personal Wealth Management announces that the brokers who operate in Citibank branches will change their compensation models immediately from commissions to fees.
Investment Advisor November 2009 James J. Green	Hybrids on the Rise Asset managers have reacted to the market crisis of 2008 by cutting their overall salesforce personnel by about 5%.
Investment Advisor November 2009 Melanie Waddell	B/D News A new managed account program... Moves by the SEC...
Investment Advisor November 2009 Joni Youngwirth	Expert's Corner: Bringing Structure to Discussions Using a structured approach to discussing important issues in your advisory firm can dramatically improve your decision making process.
Investment Advisor November 2009	The Soapbox: The Financial Planning Coalition Barks Back The Financial Planning Coalition responds to Bob Clark's October 2009 column on reregulation.
Investment Advisor November 2009 Olivia Mellan	One B/D's Take on Assessing Risk Advisors should develop a risk score for clients after discussing risk tolerance, goals, behavior, and investment knowledge with them.
Investment Advisor November 2009 James J. Green	What the Future Will Bring What worries advisors? What gives them cause for hope?
Investment Advisor November 2009 D.J. Gannon	Why Adopt Global Standards, Anyway? The reality is that the development of identical standards was never the intended result of convergence.
Investment Advisor November 2009 Angela Herbers	Marketing Is Everyone's Job Following are ideas for advisors to incorporate into their strategic marketing initiatives.
Investment Advisor November 2009 Robert F. Keane	Still Time A short history of socially, or sustainably, responsible investing.
Bank Systems & Technology October 29, 2009 Maria Bruno-Britz	Celent Predicts an Increase in Bank IT Spending in 2010 Wholesale banking, re-hiring IT staff and shifting markets for smaller banks will lead the way for increased spending by North American banks next year.
Commercial Investment Real Estate Nov/Dec 2009 Freeman & Novak	QI Questions What should investors know before hiring qualified intermediaries?
Bank Systems & Technology October 27, 2009	Couple Charged With Torturing Loan Agents A California couple facing foreclosure on their home kidnapped, beat and tortured two loan modification agents they had hired to help them, prosecutors say.
CRM October 2009 Jessica Tsai	Marketing to the Money Men A wholesale provider of financial services tools finds a way to reach a better class of financial adviser.
On Wall Street November 1, 2009 Lauren Barack	Philanthropy's Challenge: Can Passion Overcome Pessimism? Helen LaKelly Hunt speaks about the philanthropic Sister Fund she founded, how it did in the last year, the possibility of having to retreat on some of her projects, and how professional financial advice assisted her goals.
On Wall Street November 1, 2009 Elizabeth Wine	Executive Clients: Taking Stock of Their Portfolios One of the top issues advisors to corporate executive clients grapple with is persuading their clients to diversify their portfolios.
On Wall Street November 1, 2009 Jeff Ptak	Advisors: Proceed With Caution When Using ETFs While they are a great tool, advisors must proceed cautiously when considering ETF strategies, such as bond ETFs and more exotic offerings, such as commodity tracking funds, leveraged ETFs and Exchange Traded Notes.
On Wall Street November 1, 2009 Helen Kearney	Back on the Front Lines Over the past few months, both UBS and Morgan Stanley Smith Barney have completed their transitions to the 'complex' management structure. Many of the branch managers affected haven't had a book of business for years and say it's not an easy thing to conjure up overnight.
On Wall Street November 1, 2009 Thomas Lewis	It's Payback Time on Promissory Notes Firms have been fighting back against defecting advisors. Increasingly one of the most effective weapons in their arsenal is the enforcement of promissory notes.
On Wall Street November 1, 2009	Marcia Kramer Mayer Marcia Kramer Mayer of NERA Consulting speaks about how the SEC should look to the example set by the IRS, which uses computerized searches to identify investment fraud problems.
On Wall Street November 1, 2009 Alan J. Foxman	What to Do When Commissions Are Withheld Advisor Q&As: What to do when commissions are withheld... Why did the IRS extend the offshore account disclosure date?...
On Wall Street November 1, 2009 Michael A. Bois	Explaining Risk to Clients The measures taken by most private investors and their advisors regarding risk are woefully insufficient. Portfolio risk is frequently treated as a slow-moving variable, and that can have devastating results.
On Wall Street November 1, 2009 Bill Willis	Branch Managers Will Need To Start Producing Again The vast majority of today's new producing managers do not have meaningful client bases and they are being forced back into production.
On Wall Street November 1, 2009 Parisi & Leung	Intergenerational Wealth Transfer: The New Advisor Challenge A new survey estimates that 80% to 90% of financial advisors lose assets when their client dies -- mainly because the advisor doesn't know the client's children or heirs.
On Wall Street November 1, 2009 Darwell & Landres	Donating an Art Collection Can Be a Challenge Although charitable donations of artwork may give rise to substantial tax benefits, collectors and advisors should be cognizant that the IRS does not treat all donations equally for tax purposes.
On Wall Street November 1, 2009 Gerri Leder	Navigating A New Tax Era As far as taxes are concerned, make no mistake: Your clients' retirement savings are in peril. In our lifetime, the tax burden will likely change wealth and consumption habits for advisors and clients alike.
On Wall Street November 1, 2009	Matt Schiffman Legg Mason's Matt Schiffman discusses his career on Wall Street.
Bank Technology News November 2009 Karen Massey	Vendors Turn Lemons into Lemonade In a year where there were huge structural changes and consolidation in financial services, the top 100 financial technology firms actually saw their revenue grow.
Bank Technology News November 2009 John Adams	Vendors Offer New School 'Wrappers' Vendors are flooding the market with products that suggest an intermediate step of usability and attractive screen appearance as the groundwork for future development.
Bank Technology News November 2009 John Adams	Capturing Savings On Line Branch capture is less costly for banks in terms of up-front (capital expenditure), but the back-office savings from teller capture are greater.
Bank Technology News November 2009 John Adams	Online Remittance is a CRM Club for Wells Remittance schemes can span a range of technology capabilities and access barriers, but the opportunity exists for banks to simplify both execution and fraud prevention by using the Web channel.
Bank Technology News November 2009 Maria Aspan, American Banker	TD Tweets About Conversion Outage While TD Bank's "once-a-decade" systems failure earlier this fall might have a serious impact on its reputation for convenience and reliability, it also offered an unusual customer-service opportunity: managing a crisis almost exclusively through Twitter.
Bank Technology News November 2009 John Adams	HSBC's Pipe Work Sends Texts Down the Drain First Direct's erroneously sending customers text messages with other people's transaction details earlier this fall sends a message of distrust to consumers.
Bank Technology News November 2009 John Adams	GreenChoice Wants to Walk the Walk As it preps for an early 2010 debut, de novo GreenChoice Bank is running a little light on office space. But the bank's founders aren't worried; using environmentally-focused IT to reduce office space is part of the plan.
Bank Technology News November 2009 Rebecca Sausner	AML and Fraud Get Together Experts discuss trends in fraud and AML reporting, technology and regulation.
Bank Technology News November 2009 Will Wade	Fiserv Adds a Dash of Flexibility to Presentment Hoping to encourage more consumers to receive bills electronically, Fiserv has introduced a service that lets billers send invoices by e-mail and use text-message alerts to send billing notices to mobile phones.
Bank Technology News November 2009 Rebecca Sausner	The End of the World Heartland Payment System's CEO predicts 2010 will be the year that the payments chain becomes significantly more secure.
Bank Systems & Technology October 28, 2009 Maria Bruno-Britz	Fiserv Upgrades the CheckFree Online Bill Pay Service New enhancements are designed to encourage consumers to use online bill paying platforms more.
Registered Rep. October 28, 2009 Christina Mucciolo	NAIBD Works To Prevent Audit Cost Hikes For IBDs The National Association of Independent Broker/Dealers is working to prevent proposed legislation in Congress from increasing the auditing costs of small independent broker/dealers.
Bank Systems & Technology October 27, 2009 Nathan Conz	ING to Divest ING Direct ING has announced that it will divest its Internet bank, ING Direct USA, as part of a restructuring plan to separate its banking and insurance businesses required by regulators.
Bank Systems & Technology October 27, 2009 Nathan Conz	Northwestern Bank Selects Image Processing Platform Northwestern Bank has selected the Summit.NET check image platform for item processing services.
Bank Systems & Technology October 27, 2009	Union Chief Leads Protest Against Bankers AFL-CIO President Richard Trumka rallies thousands of people in downtown Chicago to protest U.S. banks' practices and urge tougher regulations.
Bank Systems & Technology October 27, 2009 United Press International	Canadian Bank Warns of Inflated Dollar One of Canada's largest banks issues a warning to the central bank to intervene in the appreciation of the country's dollar, the loonie.
Registered Rep. October 27, 2009 John Aidan Byrne	McCann Vows to Return UBS Wealth Management To Profitability New CEO Robert J. McCann says the wealth management division of UBS will not be put on the block.
Bank Systems & Technology October 26, 2009	Washington Tackles 'Too-Big-To-Fail' Firms Senior White House officials said Rep. Barney Frank, D-Mass., would introduce a bill to allow the government to seize troubled U.S. non-bank firms.
Registered Rep. October 27, 2009 Halah Touryalai	Schapiro: Don't Expect Respite From Reform Securities and Exchange Commission Chairman Mary Schapiro lays out a number of regulatory issues the SEC will be paying close attention to in the coming months.
Investment Advisor November 2009 Inveen & DePardo	People & Pay Sponsored by TD Ameritrade Institutional and with Investment Advisor as its media partner, the inaugural 2009 FA Insight Study of Advisory Firms aims to guide business owners facing serious decisions about people and pay.
Investment Advisor November 2009 Olivia Mellan	Lessons From an Experienced Advisor Dick Vodra doesn't use a questionnaire to develop a risk profile for clients; he helps them examine what's important in their lives.
Registered Rep. October 27, 2009 Kristen French	UBS Hires McCann UBS announced that it has hired Bob McCann as the CEO of its UBS Wealth Management Americas unit, replacing former head of the division, Martin Hoekstra.
Registered Rep. October 23, 2009 Christina Mucciolo	Ed Jones To Sell Brokerage Unit in U.K. Edward Jones announced the sale of its U.K. business operations to Towry Law, an independent wealth management firm based in the U.K., for an undisclosed sum.
Investment Advisor November 2009 Olivia Mellan	Cover Story: Reassessing Risk Clients who are too conservative need to be educated that they have only traded investment risk for inflation risk.
U.S. Banker November 2009	Wachovia's End The stakes were high. The maneuvering was unprecedented. An inside look at the rescue of a banking giant and its place in the debate over systemic risk.
U.S. Banker November 2009 Kathy Brister	Banking Schools at a Crossroads The good news is that students, eager for guidance in tough times, are more engaged than ever. The bad news is that enrollment is shrinking.
U.S. Banker November 2009 John Engen	CRE Stress Another Test in Balancing Interests Commercial real estate loans are viewed as a time bomb, but will stricter exams threaten the industry's - and the economy's - recovery?
U.S. Banker November 2009 Glen Fest	Ambassadors for Growth With local economies in need of a jolt, some bankers are playing leading roles in recruiting businesses and bringing new investment into their communities.
U.S. Banker November 2009 Glen Fest	Let's Talk: Banks, Clients Seek Uniform BAI Code The data connections linking cash management services and companies treasury systems are frequently customized and costly to maintain or change. U.S. banks are finally responding to calls for new reporting standards.
U.S. Banker November 2009 Glen Fest	Are Home Loan Banks at Risk? The editor of the Casey Report stirred up a small tempest in financial circles this past summer when he raised questions about the soundness of the Federal Home Loan Bank system.
U.S. Banker November 2009	Noted and Noteworthy It wasn t a bank deal, but a Native American group's planned acquisition of a New York investment firm could be a sign of things to come for the banking industry.
U.S. Banker November 2009 Kaper & Hopkins	Dodd's Power of Persuasion Facing long odds, the Banking Committee Chairman builds support for a plan to create a prudential regulator. But would a single agency kill the dual banking system?
U.S. Banker November 2009 Cheyenne Hopkins	PPIP Finally Ready, But Who's Selling? Now that a government program to buy up toxic assets finally appears ready to fly, many observers are wondering if there is any need for it.
U.S. Banker November 2009 Anthony Malakian	The Color of Small Business A vibrant ad campaign helps a small Maine bank capture more commercial customers and wins it an award, to boot.
U.S. Banker November 2009 Marissa Fajt	Credit Where Credit Is Due: How to Reach Hispanics Listen up bankers. A specialty finance firm in California is winning over unbanked consumers with simple, small-dollar loans.
U.S. Banker November 2009 Anthony Malakian	Is There a Banker in the House? Doctors make a lot of money, but to some bankers they are still credit risks.
U.S. Banker November 2009 Steve Garmhausen	Fulton Financial's Recipe for Recovery The bank s sagging brokerage unit reversed its fortunes when it ditched the commissions and switched to a fee-based model. Then it brought in a rainmaker.
U.S. Banker November 2009 Steve Garmhausen	Changing Course to Speed Growth What does it take to build a top-notch wealth management organization? In the case of PeoplesBank of York, Pa., it took a bold decision to dismantle a successful in-house program and turn its investment sales over to a group of outsiders.
U.S. Banker November 2009 Coit & Tatom	Showing Some Love for GLB on its 10-Year Anniversary Though it s become a popular target since the financial crisis, the Gramm-Leach-Bliley Act has made the financial services industry more resilient to economic and financial shocks.
U.S. Banker November 2009 Joseph Rosta	India Needs More Banks India offers an expanding middle class and a seriously under-banked population. Western banks should be paying attention.
U.S. Banker November 2009	Hits and Has-Beens Ken Lewis is resigning as Bank of America's president and CEO... Jes Staley moved from head of asset management to chief executive of JPMorgan Chase's investment bank... Iberiabank Corp. in Louisiana named Michael Brown to vice chairman/ COO... etc.
U.S. Banker November 2009	Consolidation Will Happen, But It Will Take a While There s little debate that the industry needs to shrink, but are enough buyers out there willing and able to swallow 1,500 to 3,000 banks?
Bank Systems & Technology October 23, 2009 Maria Bruno-Britz	Senior Supervisors Group Says FIs Must Improve Risk Management Infrastructures Robust IT systems will help banks deal with periods of stress while more sufficiently monitoring risk, according to a report issued by a group comprised of senior financial supervisors from seven countries.
Registered Rep. October 22, 2009 Christina Mucciolo	MSSB Plans to Double Size of U.S. Division For Ultra Wealthy Morgan Stanley Private Wealth Management will exclusively serve clients with a minimum of $20 million in assets.
Bank Systems & Technology October 21, 2009 Katherine Burger	SAP Appoints Don Trotta New Head of Global Financial Services Responsibilities include product strategy, development and market positioning in banking and insurance.
Registered Rep. October 21, 2009 Halah Touryalai	Bank of America Sells First Republic Bank Bank of America is in the midst of raising capital to help pay back $45 billion in loans it received from the government.
Wall Street & Technology September 24, 2009 Ivy Schmerken	Kaufman Praises SEC Proposed Ban On Flash Orders, But Seeks Broad Review Senator urges regulator to examine high frequency trading, colocation and dark pools, as well as direct market access.
Registered Rep. October 21, 2009 Kristen French	Morgan Posts First Profit In Year The company' results were boosted by higher underwriting fees and trading revenue, as well as the firm's acquisition of Smith Barney.
Bank Systems & Technology October 19, 2009	Dodd Unveils Overdraft Fee Regulation U.S. Senate Banking Committee Chairman Chris Dodd unveiled legislation to rein in bank overdraft fees.
Bank Systems & Technology October 18, 2009	Axelrod: Banks Should Rethink Bonuses Wall Street firms preparing to hand out seven-figure bonuses to employees should rethink their plans, a senior White House adviser says.
Registered Rep. October 15, 2009 Christina Mucciolo	Schwab Q3 Earning Down, But the Race For RIA Assets Is Hot Charles Schwab reported a 34 percent drop in its third quarter earnings, the firm's third consecutive quarter of slowing earnings this year.
Bank Systems & Technology October 15, 2009 Maria Bruno-Britz	Citibank Hong Kong Gets Mobile U.S. Stock Trading Mobile Money Ventures enables Citi's Hong Kong clients to trade stocks on American markets via mobile phone.
Bank Systems & Technology October 16, 2009 Maria Bruno-Britz	No Salary, Bonus for Ken Lewis The decision was made by U.S. government pay czar Kenneth Feinberg.
Bank Systems & Technology October 15, 2009 Nathan Conz	Fifth Third Bank Expands Footprint With Web-Based RDC Offering By shifting to a thin-client remote deposit capture (RDC) offering, Fifth Third Bank has been able to accelerate efforts to grow deposits and expand its geographic footprint.
U.S. Banker October 2009 Maria Aspan	JPMC's Miller Presses Case for Pride in the Industry The setting was festive and the fashions elegant, but when Heidi Miller took the stage to accept her award as Most Powerful Woman in Banking, pride turned to near defiance ...
U.S. Banker October 2009	The 25MPWIB Awards Dinner: A Photo Gallery Pictures of the 25 most powerful women in banking.
Bank Systems & Technology October 14, 2009 Maria Bruno-Britz	TowerGroup Acquired by CEB The Corporate Executive Board has expanded its financial services footprint with the purchase of the research firm.
Fast Company November 2009 Jeff Bailey	Can Chicago's PrivateBancorp Hire Its Way Into the Top Tier? Can Chicago's PrivateBancorp hire its way into the top tier?
Bank Systems & Technology October 11, 2009 United Press International	Toxic Commercial Loans Plague Small Banks Toxic commercial real estate assets held by small U.S. banks are threatening their survival and the broader economy, analysts say.
Registered Rep. October 8, 2009	UBS Hires Bob McCann UBS has hired former Merrill Lynch executive Bob McCann to run its wealth management division in the Americas.
Bank Systems & Technology October 8, 2009 Maria Bruno-Britz	Firethorn Mobile Banking Now Available on MetroPCS MetroPCS customers can download Firethorn's m-banking application for free to bank on-the-go with Firethorn partner banks.
Bank Systems & Technology October 8, 2009 Maria Bruno-Britz	Northeast Bank Takes New Approach to Branching With dwindling transaction levels at the branch due to self service channels, Northeast Bank is revising its branch strategy.
Bank Systems & Technology October 7, 2009	TransUnion Adds ID Analytics' Solutions to Risk Suite of Services The identity intelligence provider's solutions broaden TransUnion's product portfolio in collections, credit and identity risk services.
Bank Systems & Technology October 7, 2009	Fed Looks at Pay Policies Beyond Top Tier Execs The U.S. Federal Reserve is reviewing options for pay policies for employees far beyond a bank's top executives.
Bank Systems & Technology October 7, 2009	Hackers Arrested in U.S. Bank Phish Case The FBI says more than 100 suspects have been charged in the United States and Egypt in one of the largest cybercrime bank phishing cases in history.
Registered Rep. October 7, 2009 John Aidan Byrne	Exclusive: McCann Back To Work In October Robert J. McCann, former president of Merrill Lynch, settles a bitter lawsuit with Merrill parent company Bank of America over a non-compete agreement. The settlement frees McCann to return to work this month.
Bank Systems & Technology October 1, 2009 Maria Bruno-Britz	Fiserv Introduces Upgraded Fraud and AML Solutions Fraud Risk Manager 4.6 and AML Manager 4.6 were designed to work on a unified platform to enable an enterprise risk view.
Registered Rep. October 6, 2009 Kristen French	FSI Urges Alternatives To Proposed Investor Protection Act The Financial Services Institute recommends closing regulatory gaps between the two sides of the industry, and suggested that an industry-run, rather than a government-run, regulator would be best for the job.
Bank Systems & Technology October 5, 2009 Maria Bruno-Britz	News from AFP: Fiserv Offers ACH Client On-boarding Solution Commercial OnBoarding ACH can help make the new corporate customer set-up process more automated.
Finance & Development September 2009 Andrew Crockett	Rebuilding the Financial Architecture What needs to be done to strengthen financial regulation and supervision?
Finance & Development September 2009 Randall Dodd	Overhauling the System The United States is proposing the most radical reform of financial regulation since the New Deal.
Finance & Development September 2009 Atish R. Ghoshet et al.	Anticipating the Next Crisis THE current global financial turmoil has rekindled the interest of both policymakers and the general public in early warning systems to anticipate future financial crises. But what alarms can such systems realistically sound?
Finance & Development September 2009	Flows to Eastern Europe Foreign banks have supported eastern European banks, but the financial crisis has reversed this trend.
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