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Financial Advisor
March 2007
Gregory Bresiger |
Distribution Nightmare Ready to rollover a client's inherited nonspousal IRA? Look out, financial advisor! There's plenty of danger just around the corner, if one is not a tax specialist.   |
Financial Advisor
March 2007
Sydney LeBlanc |
Ideology Investing With SMAs Philanthropy and separate accounts charitably co-exist. The flexibility of SMAs can also help clients who establish charitable remainder trusts. |
Financial Advisor
March 2007
Tracey Longo |
Can You Afford PR? Here's some insight from industry experts on the media bang financial advisors should get for their marketing buck. |
Financial Advisor
March 2007
Lee Eisenberg |
Saints In Shoulder Pads Many people don't seem fundamentally inspired by the retirement life they imagine for themselves. It just might take a financial advisor who doubles as a creative writing teacher to help clients get over their Inspiration Deficit Disorder. |
The Motley Fool
March 2, 2007
Matt Koppenheffer |
Quick Take: Brokerages' Sloppy-Looking Swaps Current trading around banks' debt could suggest trouble ahead. Investors may be concerned that risk wasn't adequately managed with regards to the mortgage loans the banks took on. |
Registered Rep.
March 1, 2007
John Churchill |
Sallie's Back At first glance, this second coming of Sallie Krawcheck probably looks like a cakewalk compared to her first adventure in 2002. But, make no mistake: Smith Barney is not the awesome brokerage it appears to be on paper. |
Registered Rep.
March 1, 2007
Kevin Burke |
The New SRO Plans for the NYSE/NASD regulatory consolidation are moving quickly toward an April 2 deadline. But executives question whether the proposed governance structure for the consolidated regulator could change the nature of regulation in the industry for the worse. |
Registered Rep.
March 1, 2007
Karen Donovan |
Arbitration Tweaks The SEC recently tried to help improve the arbitration system by offering a new code of procedures for picking arbitrators. But as arbitration lawyers have found there was not much to get excited about. |
Registered Rep.
March 1, 2007 |
Comings & Goings President and CEO of Janney Montgomery Scott, James Wolitarsky, will retire... UBS appointed Michael Roberts managing director and head of UBS Trust Services... Morgan Stanley hired 10 investment professionals... etc. |
Registered Rep.
March 1, 2007 |
Blotter SEC Front Running Probe... NASD Fines Bank of America... |
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