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Registered Rep.
November 1, 2002
David A. Geracioti |
Spartis, Elias Each Seek $100M From Smith Barney Spartis and Elias claim they were wrongfully fired in February. They claim that Smith Barney did not adequately represent them in WorldCom-related customer complaints.   |
Registered Rep.
November 1, 2002
Jonathan Arfa |
Breaking Up Is Hard to Do Brokers partner up for a variety of reasons. Some kind of contract is needed when a partnership between members of a team of brokers is formed, whether it be between a senior broker and junior colleagues or just between two seasoned brokers. Brokers should consider this contract seriously. |
Registered Rep.
November 1, 2002
Daryl T. Logullo |
Grin and Bear It All the awful news about the markets can be good news for brokers who want to garner a little bit of publicity. Here are some tips on how to establish yourself as a hot commodity on the business television circuit. |
Registered Rep.
November 1, 2002
Pamela J. Black |
How to Be a Retirement Planning Hero Fixing a client's retirement plan (to the extent possible) may be the best opportunity brokers have today to create new business. |
Registered Rep.
November 1, 2002
Bennett Voyles |
I'm OK, You're 401(k) While your clients may not be as happy to discuss their 401(k)s now as they were back in the glory days of the bull market, the tax-shielded account still has a lot to offer most people. Here are a few sites to help you refine your pitch or answer your clients' questions. |
Registered Rep.
November 1, 2002
Dave Tsujimoto |
In Defense of Hedge Funds Here's why any rep with high-net-worth clients ought to become familiar with the nuances of hedge funds. |
Registered Rep.
November 1, 2002
Carol X. Vinzant |
Law & Order: Client-Broker Disputes The last couple of years have been hell on anyone who owns stock. And someone must pay. Rightly or wrongly, that person typically is the broker. |
Registered Rep.
November 1, 2002
Leslie Rosenberg |
Remember My Values, Not Just My Wealth Values-based planning helps your clients align their personal values and ideals with their portfolios to plan wisely for future generations. |
Registered Rep.
November 1, 2002
Michelle Leder |
Training Brokers Not to Flunk Out By focusing their training budgets more effectively, firms hope to trim an attrition rate among new hires that, even in good times, exceeds that of other industries. |
Registered Rep.
November 1, 2002
Ruth Halcomb |
When Affluenza Strikes It can be every advisor's dream. But for those unprepared, it can become a nightmare. Lesson No. 1: The nouveau riche aren't like you or me. Emotions can run high as erstwhile family members and charities look for a chunk of their money; truly, handholding can become a huge part of your job. |
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