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Registered Rep.
August 1, 2006
Halah Touryalai |
Blotter Wachovia Self-Dealing Suit... Merrill Fined for Firing Rep... LPL: On the Prowl?...   |
Registered Rep.
August 1, 2006
John Churchill |
A Structured What? What do ELKS, ASTROS, BULS, ARNs, BOXES and ComPS all have in common? They're all part of the fledgling "structured products" boom. Wirehouses and banks are marketing them as diversification tools. |
Registered Rep.
August 1, 2006 |
Comings & Goings Janus Capital Group has made Eric Hargens, former executive at Van Kampen Funds, its divisional sales manager... Merrill Lynch signed on 12 Piper Jaffray advisors... etc. |
Registered Rep.
August 1, 2006
Kristen French |
PIPE Up Private investments in public equity financings are on a tear this year. Through July 18, PIPE financings totaled 1,081, amounting to $24.7 billion. Investment bankers say the instruments are going mainstream. |
Registered Rep.
August 1, 2006
John Churchill |
60 Seconds With...Rick Frueh A short interview with the chairman and CEO of GunnAllen Financial about its upper management hiring tear. |
Registered Rep.
August 1, 2006
Kristen French |
A Healthy Concern High-net-worth individuals are ranking the risk of unforeseen health care costs as their top financial concern. |
Registered Rep.
August 1, 2006
Halah Touryalai |
(I Can't Get No) Satisfaction A recent survey suggests investors have higher rates of satisfaction with regional and independent broker/dealers than with wirehouse firms. |
Registered Rep.
August 1, 2006
Kevin Burke |
SEC Draws Hard Line on Soft Dollars After more than a decade of discussion, the SEC has finally issued guidance on the controversial fate of soft dollars. |
Registered Rep.
August 1, 2006
Kristen French |
The More Things Change Despite the big push for millionaire clients throughout the industry in recent years, average annual revenue per financial advisor for all firms has remained relatively constant. |
Registered Rep.
August 1, 2006
John Churchill |
Hall of Shame Robert Brennan: Found guilty of stock fraud and fined $75 million... Meyer Blinder: Sentenced to 46 months in prison for racketeering, money laundering and stock fraud in 1992... etc. |
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