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Registered Rep.
March 16, 2012
Diana Britton |
Yield of Dreams: Another Thumbs up for Index, ETF Investing The passive versus active management debate wages on, but a new report on 2011 performance gives more weight to index and ETF investing.   |
Registered Rep.
March 16, 2012
John Aidan Byrne |
UBS Betting Big On Asia UBS Wealth Management will embark on a global expansion outside the U.S., announcing yesterday it will hire another 500 advisers in the fast-growing emerging markets and Asia Pacific regions. |
Registered Rep.
March 16, 2012
Kristen French |
Due Diligence: Merrill Cost-Cutting Centers on Client Segmentation, Less Bureacracy Merrill Lynch financial advisors can expect Bank of America cost-cutting to take the form of greater client segmentation and reduced bureaucracy, said John Thiel of Merrill Lynch |
Registered Rep.
March 16, 2012
Jerry Gleeson |
Polls: Current Financial Concerns Trump Planning for Retirement The glum outlook for American retirement appeared little improved with the release this week of two separate reports that showed continued worker skepticism about their prospects. |
Registered Rep.
March 15, 2012
Kristen French |
Did the $5 Debit Card Fee Prompt the Merrill Exodus? Bank of America Merrill Lynch has been bleeding top brokers in the past six months, just as many industry observers predicted. |
Registered Rep.
March 15, 2012
Matt Oechsli |
The Affluent Relationship Shift (2nd Macro Shift) How important do you think it is for support personnel to be involved in helping manage the business and social components of client relationships? |
Registered Rep.
March 15, 2012
Kristen French |
Due Diligence: Step Back Rakoff, SEC-Citigroup Settlement Could Stand Judge Jed Rakoff may have overstepped his authority, said a federal appeals court today. In a procedural decision, the court wrote that the Securities and Exchange Commission has a good chance of overturning Rakoff's rejection of a $285 million SEC settlement with Citigroup. |
Registered Rep.
March 15, 2012
Diana Britton |
Ladenburg Thalmann Revenue Doubles Thanks to SAI acquisition, But Profits Are Slim The spike was primarily due to the company's acquisition of Securities America, adding $57.1 million to Ladenburg's 2011 revenue. Net income for the quarter was $6.4 million, compared to a net loss of $1.1 million for the fourth quarter 2010. |
Registered Rep.
March 14, 2012
Diana Britton |
SEC Goes After Venture Capital B/D Over Sale of Facebook Shares The Securities and Exchange Commission has filed charges against New York-based venture capital broker/dealer Felix Investments and the firm's founder Frank Mazzola. |
Registered Rep.
March 14, 2012
Charles Paikert |
The Battle for Outsource Supremacy Envestnet president Bill Crager has been running the outsourcing company since it started twelve years ago. The Chicago-based firm now provides reporting, technology and research services to about 20,000 financial advisors and independent broker-dealers. |
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