Bank & Financial

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

Old Articles: <Older 4491-4500 Newer>

Registered Rep. December 1, 2005 Kevin Burke	Edward Jones: Whistle While You Work According to survey results, financial advisors working at this financial firm seem to be living a charmed life. Here's why.
Registered Rep. December 1, 2005 Kristen French	Wachovia: Back on Track Wachovia is back in good graces with its brokers. The many integration headaches of the firm's merger with Prudential Securities have finally subsided. Reps polled say management has tackled a number of improvements.
Registered Rep. December 1, 2005 Kevin Burke	A.G. Edwards: Quietly, the Leader of the Pack Building on its strong performance from a year ago, A.G. Edwards lit up the scoreboard this year. Advisors say the St. Louis-based firm has a high-quality work environment, commitment to clients and freedom from pushing certain products.
Registered Rep. December 1, 2005 Andrew Osterland	Brokering Advice The essential difference between brokers and registered advisors, say financial planners, is fiduciary duty. The notion that b/ds have a lighter burden of regulation than registered advisors, however, is something the securities industry vigorously disputes.
Registered Rep. December 1, 2005 Kevin Burke	The New Face of Janus For now, the company appears to be making all the right moves but it's too soon to be calling it a comeback. Here is a list of the top five advisor-sold Janus funds based on trailing one-year returns.
Registered Rep. December 1, 2005 Stan Laxenberg	Hot Stuff Commodity fund manager Jim Rogers has demonstrated a knack for finding the hottest markets. Here is his advice for the current market situation and some fund recommendations.
Registered Rep. December 1, 2005 Anne Field	Finding Future Clients For the prudent advisor, an aging book calls for strategic planning -- and reaching out to younger clients. That can include targeting anyone from promising junior executives to the children of existing accounts.
Registered Rep. December 1, 2005	When to Blow What rights and/or obligations does the home office have to its representatives to maintain a support staff that is able to efficiently and correctly process the paperwork that is sent to them? Do you feel that the threat of legal action would be sufficient to finally get the attention needed?
Registered Rep. December 1, 2005 Kevin McKinley	Be a Hero With the Stroke of a Pen Examining your clients' IRA beneficiary designations initially and periodically is good practice. But it should go beyond just i-dotting and t-crossing. A five-minute conversation could lead to millions more for the clients' descendants, and introductions to dozens of potential new clients for you.
Registered Rep. December 1, 2005 Bill Singer	Nowhere to Hide As financial professionals, it is hoped you will not run afoul of the law, but if you do, it's a frightening and complex system. This explains why regulators often distinguish between "willfully" making a misstatement and doing so out of ignorance or a good-faith misunderstanding.
<Older 4491-4500 Newer> Return to current articles.