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Registered Rep.
January 1, 2006
Kevin Burke |
Spitzer Hints Scandal Is Winding Down While Spitzer remains tight-lipped on the status of the industrywide trading investigation he launched in September 2003, he hinted that it is perhaps nearing the finish line.   |
Registered Rep.
January 1, 2006
Kristen French |
Legg Slims Citi Swap Ranks After Legg Mason and Citigroup closed their asset swap deal on Dec. 1, Legg announced in a regulatory filing with the SEC that it plans to cut some of the employees that came with the swap. |
Registered Rep.
January 1, 2006
John Churchill |
More, More, More Faced with growing competition from other advice providers and fewer inherent advantages in the way of products and platform capabilities, wirehouse brokers will feel pressure to do more fee-based business and to make wealthier clients a bigger part of their practice. |
Registered Rep.
January 1, 2006
Halah Touryalai |
The Winner's Curse Many advisors independent b/ds recruit have now unrealistic expectations: They want full technical and marketing support, as well as help understanding products and asset managers. |
Registered Rep.
January 1, 2006
Kevin Burke |
Balancing Act Part of the fallout from the regulatory onslaught of the past three years has been a drastic overhaul in how mutual funds are sold. Heading into 2006, the money-management business is entering a new era of price competition and consolidation. |
Registered Rep.
January 1, 2006
Stan Luxenberg |
Housewarming Come April, Merrill Lynch will remove its famous name from the brokerage's own funds to relaunch them under a new (as yet to be determined) name to compete on their own. But all the major wirehouses have struggled to sell their proprietary mutual funds. |
Registered Rep.
January 1, 2006
Jim Ambrosio |
Filling A Void The potential of the health savings account in the small-business market as both an investment and insurance vehicle is enormous for banks, brokerages and insurers, as well as for independent advisors. |
Registered Rep.
January 1, 2006
Susan Konig |
Getting In By Taking the Worry Out Small business owners can be anxious clients at first, but after or so, many advisors say the nature of the relationship changes. What they want is an informed, competent and honest advisor. |
Registered Rep.
January 1, 2006
Anne Field |
The Good Problem This month's "Fix My Business" column focuses on an industry veteran who faces what many other successful advisory practioners face: a bulging practice in need of a tune-up to increase efficiency and, as a result, profitability. |
Registered Rep.
January 1, 2006 |
Who Gets the Book? Q: I had an oral contract with my partner that I would inherit his $40 million book when he retired... Please advise me as to my rights... A: At the outset, my advice is that you have viable claims against your firm for breach of contract, detrimental reliance and unfair business practices... etc. |
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