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BusinessWeek
September 25, 2006
Mara Der Hovanesian |
Nightmare Mortgages Readers respond to a story on option ARMs, which struck a nerve with brokers, bankers, and consumers.   |
Registered Rep.
September 18, 2006
Kevin Burke |
Sun Life Attracts Suitors in Effort to Unload MFS MFS Investment Management, long rumored to be on the auction block due to lagging profit margins, middling performance and increasing regulatory demands, could be mere days away from a blockbuster merger with another large asset-management firm. |
Registered Rep.
September 14, 2006
Halah Touryalai |
NASD Fines Securities America for Failure to Supervise Securities America was fined $2.5 million for failing to supervise an advisor who allegedly lured clients into early retirement with exaggerated promises of high returns. |
Registered Rep.
September 14, 2006
Kevin Burke |
Merrill Opens More Boutique Branches For Ultra Wealthy; Now Recruiting Private Bankers The focus of the private banking unit is built on the premise that ultra-high-net-worth clients have different needs than those of the slightly less affluent. |
Insurance & Technology
September 5, 2006
Katherine Burger |
Mixed Messages A recent study reported that while women make up 75% of the total financial services workforce, they occupy only 12.6% of executive positions in the nation's 50 largest commercial banks -- a significant decrease from the 16% reported in a 2002 survey. |
Insurance & Technology
September 5, 2006
Maria Woehr |
Healthy Options The Principal Financial Group is pushing competition in consumer-driven healthcare with an integrated health reimbursement arrangement and health savings account product. |
The Motley Fool
September 14, 2006
Alex Dumortier |
All Eyes on Lehman Lehman beat Goldman to the punch with its earnings report this quarter. Lehman's healthy numbers bolster the notion that broker-dealers have come through a difficult environment relatively unscathed during the third quarter. Investors, take note. |
Registered Rep.
September 13, 2006
Halah Touryalai |
Morgan Joins Inter-Brokerage TRO Pact This firm has officially opted to join the inter-brokerage pact, which stipulates that members will not sue brokers departing to other firms when they try to take their clients with them -- as long as they are moving to another firm named in the pact. |
Fast Company
September 2006
Linda Tischler |
Space Shot: Bloomberg Headquarters, New York, NY Bloomberg's new headquarters is an architectural expression of the global financial markets. |
Registered Rep.
September 8, 2006
Halah Touryalai |
An Offer They Can't Refuse UBS is doing all it can to hold onto as many of the advisors at newly acquired Cleveland-based McDonald Investments as possible -- beginning with a retention package that will be hard to refuse. |
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