Bank & Financial

Magazine articles on banks, brokerages, and credit card companies.

Old Articles: <Older 911-920 Newer>

Registered Rep. September 3, 2003 David A. Gaffen	Two Smith Barney Reps Deny NYSE Allegations Two former Smith Barney employees have denied WorldCom-related allegations brought against them by the NYSE.
Registered Rep. September 3, 2003 David Gaffen	NASD: Brokers With Complaints Need A Watchful Eye Heed the red flags. This is the thrust of a new NASD proposal that would require brokerage houses to devote extra supervision to reps with extensive numbers of complaints or regulatory actions against them.
Bank Systems & Technology September 1, 2003 Cynthia Ramsaran	Consumers Feeling More Comfortable with Banking Online Consumer attitudes towards the safety and security of Internet banking have improved dramatically since 2001
CFO September 1, 2003 Hilary Rosenberg	Compromising Positions Will credit derivatives encourage more lending, or will they harm the interests of borrowers?
OCC Bulletin August 27, 2003	Proposed Guidance and Notice of Information Collection Interagency guidance on response programs for unauthorized access to customer information and customer notice
Inc. September 2003 Amy Gunderson	Banks May Sell Off Your Loans A secondary market for small-business loans could benefit entrepreneurs.
Registered Rep. August 26, 2003 David A. Gaffen	Smith Barney Settles On WorldCom; Spartis, Elias Continue Fighting A million dollars. That's the amount brokerage firm Smith Barney agreed to pay in a settlement with the New York Stock Exchange in an investigation of improper conduct at an Atlanta branch of the firm related to WorldCom employee/shareholders.
Registered Rep. August 26, 2003 Will Leitch	NASD Sets Guidelines On Giving Money Back The Joint NASD/industry task force released its study on breakpoints last month, confirming that millions are owed to clients by firms for not applying discounts on breakpoints. The NASD is now making sure the firms know exactly how to rectify the situation.
Registered Rep. August 1, 2003	Ten To Watch 2003 The members of our "Ten to Watch" list are among those saddled with having to manage in this tough environment. What makes this group different is that each member has proven influential enough to play some role in creating the securities industry's environment for the year to come.
CIO August 15, 2003 Ben Worthen	An IT Flower Blooms in China When State Street opened a technology center at Zhejiang University in Hangzhou, China, in December 2001, the goals were modest. But since the center opened, State Street has found a valuable foothold in an important Asian IT talent market.
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