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Registered Rep.
December 1, 2004
John Churchill |
If You're a Broker and You Know It As the holiday season approaches, the SEC is getting daily entreaties from registered investment advisors seeking an end to the broker/dealer exemption rule.   |
Registered Rep.
December 1, 2004
Will Leitch |
SOS It is an ominous time for small broker/dealers, for everyone from the chairman to the local rep. As always, the best way through the uncertainty is ingenuity. |
Registered Rep.
December 1, 2004
Karen F. Donovan |
Raymond James Fights a Lonely Battle with the SEC After nearly two years of negotiations, the agency charged Raymond James Financial Services with civil fraud in connection with the conduct of a rogue broker who worked off-site as an independent rep in Cranston, R.I. |
Registered Rep.
December 1, 2004
David A. Gaffen |
Sallie Krawcheck Has Left the Building In a move that presages future Citigroup plans, Smith Barney CEO Sallie Krawcheck and Citigroup's CFO Todd Thomson have switched offices. |
Registered Rep.
December 1, 2004
Stan Luxenberg |
Rubber-Band Man For funds that focus on one style box, the choices could be slim. But flexible managers have freedom to maneuver in flat markets. Among the most wide-ranging performers are Julius Baer International Equity and its sibling Julius Baer Global. |
Registered Rep.
December 1, 2004
Mike Ruff |
From Safe to Stagnant If there's one thing to be learned from "all weather" investment strategies such as muni laddering, it's this: there is such a thing as too conservative. Therefore, advisors should make it clear to their clients that the safety offered comes at a steep price. |
Registered Rep.
December 1, 2004
Anne Field |
I've Got Your Back The image of the strong, silent loner is a powerful one in this country, but it loses some of its potency when applied to the modern brokerage industry. |
Registered Rep.
December 1, 2004 |
The Promise Keepers Is arbitration the answer to this broker's woe?... Should a former employer pay defense costs for broker being sued while employed with that firm?... |
Registered Rep.
December 1, 2004
Mindy Diamond |
Packing the Parachute Success in the brokerage industry can be as much about mindset as anything else, so it comes as little surprise that advisors avoid negative thoughts, such as the potential necessity of a quick exit from their practice. |
Registered Rep.
December 1, 2004
Matt Oechsli |
The Thrill of the Chase Anyone who has ever let household chores get the better of him is well-acquainted with the most significant obstacle facing wannabe high-net-worth advisors: inertia. |
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