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Registered Rep.
January 1, 2007
Kristen French |
More or Less? Smith Barney overhauled its pay package -- just in time for the new year. Some of the changes it made were pretty radical -- especially for an industry in which any pay change, no matter how minor, is often a source of uproar.   |
Registered Rep.
January 1, 2007
Stan Luxenberg |
No Redemption After discovering the fund market-timing scandals in 2003, regulators suggested boosting redemption fees. But lately, fee proponents have been losing their enthusiasm. The SEC decided not to make the fees mandatory. |
Registered Rep.
January 1, 2007 |
Comings & Goings Goldman Sachs Asset Management hired David Holdreith as vice president and portfolio manager... Evergreen Investments has named Bill Taylor as president of managed assets... etc. |
Registered Rep.
January 1, 2007
John Churchill |
Ah, the Good Ol' Days Golf clubs, $500. Twelve bottles of 1993 Chateau Petrus (Pomerol) wine, $7,500... Cost to Jefferies & Co for providing said gifts, among others, to Fidelity traders: $5.5 million... |
Registered Rep.
January 1, 2007
John Churchill |
60 Seconds with...Nick Nicolette (FPA President, 2007) An interview with the Sterling Financial Planning principal and new president of the Financial Planning Association. |
Registered Rep.
January 1, 2007
John Churchill |
Will Jones Wrap it Up? Buy-and-hold Edward Jones is considering a platform option it has long eschewed as foreign to the firm's culture: fee-based accounts. |
Registered Rep.
January 1, 2007
Halah Touryalai |
Spitzer Defends UBS Brokers--No, Seriously Eliot Spitzer announced in mid-December that he thinks the $89 million overtime settlement that UBS agreed to in February 2006 is unfairly distributed, and he's asking a Northern California District Court to reject the proposed settlement amount. |
Registered Rep.
January 1, 2007
Kristen French |
Cold Call: Mike Delgass (Sontag Advisory, a financial advisory firm in Westport, Conn.) 1. What is your favorite part of the workday?... 2. What is your most impressive skill outside the job?... 3. Who has inspired you most in your career, and why?... |
Registered Rep.
January 1, 2007
John Churchill |
The Nasdaq Keeps Trying in London The London Stock Exchange turned down Nasdaq's advances once, and did it again in December. But Nasdaq is a persistent chap and now intends to appeal to exchange shareholders. |
Registered Rep.
January 1, 2007
John Kador |
Schwab: Back to Basics With its recently announced plans to sell U.S. Trust to Bank of America, Charles Schwab has decided to leave serving the uber-uber wealthy -- that very top 0.5 percent of the population -- to others. |
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