Bank & Financial

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

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Registered Rep. April 1, 2005 John Churchill	Merrill Takes a Late Hit on Research Scandal An NASD arbitration panel ordered Merrill Lynch to pay more than $1 million to an investor last month for hiding conflicts of interest and issuing fraudulent research.
Registered Rep. April 1, 2005 Kristen French	The State of Estate Planning Tax planning for estates took a hit in 2001 when the White House decided to repeal the estate tax in 2010. As the debate drags on over whether to make that repeal permanent, advisors and investors are deciding it's better to do something rather than nothing.
Registered Rep. April 1, 2005 Thrupthi Reddy	How Not to Get Sued If you're a fiduciary and don't want to get sued --- and fined --- pay close attention to this litigation expert.
Registered Rep. April 1, 2005 Will Leitch	IRAs and the IRS A recent clarification from the Internal Revenue Service could change the way clients fund their individual retirement accounts --- and may eventually cut into a rep's IRA-related fees.
Registered Rep. April 1, 2005 Stan Luxenberg	A Benign Disaster? An academic, hired by Putnam to calculate losses attributable to market-timing and excessive trading, reckons the number is $4.4 million, not the $110 million Putnam agreed to pay the SEC and Massachusetts regulators.. And that includes interest.
Registered Rep. April 1, 2005 David A. Geracioti	Gurus: The Watchdog An interview with investment manager and FundAlarm.com's founder on the formation of the mutual fund information Web site, who it serves and the viability of mutual funds.
Registered Rep. April 1, 2005 Erin Schulte	A Perilous Position? The duties of branch office managers (BOMs) have morphed from business strategist and rainmaker to compliance cop. The role, once considered a plum job and stepping stone up the corporate ladder, is increasingly being regarded as a risky, thankless task.
Registered Rep. April 1, 2005 Namita Devidayal	True to Form H&R Block's ubiquity in tax-preparation has pigeon-holed the firm and hampered its efforts to become a serious player in the financial advisory business.
Registered Rep. April 1, 2005 Stan Luxenberg	Explore Beyond the Core Exchange-traded funds are excellent choices for advisors seeking a core holding for clients. But the most intriguing ETFs are the less well-known funds that can increase returns, often while dampening risk.
Registered Rep. April 1, 2005 John Churchill	Aiming Downmarket Thanks to technological advances and the introduction of multimanager products (so-called multidiscipline accounts, or MDAs), advisors can now put clients into managed accounts with as little as $25,000.
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