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On Wall Street
February 1, 2012 |
A. Markman 'Mark' Peters In 2009, I accepted my current position at Jefferies. We've been dealing with wealthy families that have removed the risk from their portfolios. We're tapping Jefferies' institutional platform in this market and thinking outside the box.   |
Registered Rep.
February 1, 2012
Charles Paikert |
Digital Dangers Wealth management firms have embraced the efficiencies of technology like everyone else. Yet these firms should adhere to a much higher bar of security than others, given the personal financial information they have access to. |
Registered Rep.
February 1, 2012
Diana Britton |
IMCA Roundup: A Ray of Hope in Equities, Munis A panel of high-profile investment strategists at the Investment Management Consultant Association's conference in New York found a few rays of sunshine beginning to peak through the gloom: equities and municipal bonds. |
Registered Rep.
February 1, 2012
Jerry Gleeson |
Focus Financial Obtains New Credit Line for Acquisitions Focus Financial Partners' pockets just got a lot deeper. A consortium of banks approved a credit facility of up to $320 million for the New York City-based registered investment advisor aggregator, almost double the size of its previous facility of $155 million. |
Registered Rep.
February 1, 2012
Kristen French |
Talk to Her: How to Keep Women Clients Nearly one-half of every financial advisor's book is controlled by women, but unless advisors learn the nuances of communicating with these clients, they could disappear at the drop of a hat. |
Registered Rep.
February 1, 2012
Joshua Brown |
The Reformed Broker: Scapegoats and Trigger Men Why do people hire financial advisers? The answer might surprise you. Sometimes they are merely looking for someone to pull the trigger for them when they're too shell-shocked to invest for themselves. |
CRM
February 2012
Leonard Klie |
Consumers Want NFC-Enabled Mobile Wallets An analyst firm predicts that mobile shopping will create a multi billion-dollar industry for credit card companies, online retailers, and mobile operators. |
Registered Rep.
January 31, 2012
Jerry Gleeson |
Five Popular Investment Myths Here are five popular investment myths held by clients and how to gently tell them the truth. |
Registered Rep.
January 30, 2012
Kristen French |
Due Diligence: Financial Firms Still Get no Love From Public The general public's general opinion of financial services firms has declined in the past year. |
Registered Rep.
January 27, 2012
Kristen French |
Due Diligence: FINRA's Merrill Fine is a Tap on the Wrist This week, FINRA fined Merrill Lynch $1 million for making it hard for former brokers of the firm to fight back in bonus disputes. |
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