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Registered Rep.
March 9, 2012
Kristen French |
Due Diligence: SEC Gives 70-Year-Old Broker a Break Back in the late 1970s, at the start of his career, Robert Hardee Quarles got himself into trouble -- offering and selling non-exempt securities without a valid and effective registration statement and also misleading his customers about the nature and risks of those securities.   |
Registered Rep.
March 8, 2012
Diana Britton |
Founders of Advanced Equities Slammed with Wells Notices Over Private Offerings The SEC sent the notices to Chairman Keith Daubenspeck and CEO Dwight Badger in January 2012, notifying them that the staff may take enforcement action related to a private offering in 2009. |
Registered Rep.
March 8, 2012
Kristen French |
Direct Investment Sites Are Stealing Even More of Your Business There will always be clients who want a local advisor who doesn't work for a big firm, or someone they can golf with. The E-Trade baby may be cute, but it's unlikely he'll keep a tee time with you. |
Registered Rep.
March 8, 2012
Kristen French |
Due Diligence: Morgan Stanley Advisors Paid to Put Clients in New Amex Credit Card Morgan Stanley Smith Barney financial advisors and client service associates will get a "small" amount of compensation for the administrative process of handling card sign up. |
Registered Rep.
March 8, 2012
Boswell & Nichols |
The 3-Step Process for Closing New Prospects Many advisors put a great deal of thought into how they'll find affluent prospects, but less on how they'll convert these prospects in to clients. |
Registered Rep.
March 7, 2012
Charles Paikert |
Community Banks Betting On Wealth Management Bruised by the financial crisis and no longer able to make much profit on loans and deposits, regional banks are looking to bolster their businesses by managing money for the affluent. |
Registered Rep.
March 7, 2012 |
Due Diligence: Four Overlooked Havens of Wealth If you are looking for that golden land of wealth management opportunity, eFinancialCareers has done a little homework for you. |
Registered Rep.
March 7, 2012
Diana Britton |
Yield of Dreams: A Different Vibe at Advisor Group's Women's Conference Erica McGinnis, senior vice president of compliance and supervision at Advisor Group, kicked off the group's Women's Conference in Los Angeles Monday morning talking about being a working mother. |
Registered Rep.
March 7, 2012
Kristen French |
Due Diligence: Trump Trumps God for Financial Advice Americans do not think God would do a great job of managing their money. Given a choice, they would rather get financial advice from The Donald than take it from the Bible. |
Registered Rep.
March 6, 2012
Diana Britton |
Advisor Group Looking to Buy Mid-Sized B/Ds, Large OSJs AIG Advisor Group is in talks with a few mid-sized broker/dealers and larger offices of supervisory jurisdiction, and hopes to make one or more acquisitions in the near future. |
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