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Registered Rep.
October 1, 2005 |
Blotter Lawyers, Drugs and Money... More Market-Timing Fallout... Bank of America in Hot Seat...   |
Registered Rep.
October 1, 2005
Rorie Sherman |
Katrina and IRAs The relief efforts related to hurricane Katrina are doing what two decades of lobbying from the wealth advisory community could not: convincing legislators to let investors make tax-free donations from their IRA accounts. |
Registered Rep.
October 1, 2005 |
Mothers Don't Let Your Children Grow Up to Be A recent poll asked respondents to rate 22 professions according to their prestige, and stockbrokers finished dead last. |
Registered Rep.
October 1, 2005
Susan Konig |
Onus on OSJs and BOMs Regulatory agencies are now moving to hold higher-ups at brokerage firms personally liable when reps working for them are charged with illegal conduct. |
Registered Rep.
October 1, 2005 |
Hedge Funds Set to Boil Investors looking to beat the average returns of the market will be heading to hedge funds and funds of hedge funds even more in the future, says new research. |
Registered Rep.
October 1, 2005 |
Cold Call: Jeffrey Fishman (President, JSF Financial, Los Angeles) A short interview on the financial executive's past and present work experiences as well as his down-time preferences. |
Registered Rep.
October 1, 2005
Kevin Burke |
Raging Bull A member of the New York Stock Exchange was arrested in late August for allegedly issuing a death threat to another seat holder who sued to block the Big Board's takeover of Archipelago Holdings. |
Registered Rep.
October 1, 2005
Kevin Burke |
The Revenge of Mama's Boy Jay Gagne's unusual NASD victory -- few brokers have ever won an arbitration based on charges of defamation -- could establish a new line between acceptable office high jinks and illegal employment practices. |
Registered Rep.
October 1, 2005
John Kador |
Schwab Does It Again Charles Schwab, the pioneering discount broker who was slammed by the tech wreck and suffered through protracted management struggles in the past two years, is beating the wirehouses at their own game. |
Registered Rep.
October 1, 2005
John Churchill |
Growth at a Price While nobody is accusing GunnAllen of running a crooked business, the firm's growth strategy has translated to a reputation for hiring a relatively high proportion of reps with heavily marked up U4s, including some who have received criminal complaints. |
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