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Registered Rep.
November 7, 2006
Kevin Burke |
NASD Whacks Two Firms with Fines Over Ill-Advised 529 Sales The NASD said on Monday that it has fined Chase Investment Services and MetLife Securities for failing to establish internal controls to supervise the sale of 529 college savings plans.   |
The Motley Fool
November 7, 2006
Rich Duprey |
Dollar Financial's Creative Cash Machine The check-cashing leader continues its growth plans via international expansion. Investors, take note. |
Registered Rep.
November 6, 2006
Kevin Burke |
Schwab Postpones Biz Update, Sparks Merger Chatter In a rare move, Charles Schwab said that it has postponed its fall business update with analysts, citing "scheduling difficulties." This is only the second time that a meeting of this caliber has been postponed at the firm. |
InternetNews
November 3, 2006
Ed Sutherland |
FBI: Twilight For Bank Phishermen U.S. and Poland hackers had targeted a major financial institution. |
Registered Rep.
November 3, 2006
Kristen French |
Morgan Tinkers with Grid; Wants FAs to Aim High James Gorman announced the rollout of a new compensation program that will greatly increase the firm's spending. But, in an effort to get reps to think big, accounts below $50,000 will no longer generate any compensation for the rep. |
The Motley Fool
November 3, 2006
Michael Leibert |
AllianceBernstein's Expensive Units The money manager's unit price may have leapfrogged its performance. |
BusinessWeek
November 13, 2006
Ronald Grover |
Supercrooks Or Sitting Ducks? A Chinese fraud case snags two bankers stateside - who claim they're scapegoats for bank safety. |
The Motley Fool
November 2, 2006
Ryan Fuhrmann |
Is the Damage Control Ending for Marsh Mac? Marsh & McLennan's third-quarter 2006 results may suggest a renewed focus on growing its businesses again. Investors, take note. |
Registered Rep.
November 1, 2006
Kevin Burke |
Money Managers Don't Get RIA Market A large number of money managers still haven't figured out how to tap the registered investment advisor market to sell their funds, according to research. |
Financial Advisor
November 2006 |
Advisor Emporium Partners Focus On European Property... CCA Unveils Web-Based Retirement Plan... Seven SRI Portfolios Launched... Fidelity DAF Lowers Contribution Minimum... etc. |
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