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Registered Rep.
April 1, 2008
John Churchill |
Good Times, Bad Times Shares of the major broker/dealers are getting hammered. The good news is, for those of you who have always wanted to move on, but couldn't because it made you sick to leave unvested options on the table, this may be your moment.   |
Registered Rep.
April 1, 2008
David A. Geracioti |
Joseph Duran A conversation with Joseph Duran, about his firm, United Capital, a national wealth-management firm that purchases regional registered investment advisor firms. |
Registered Rep.
April 1, 2008
David Geracioti |
Sallie Krawcheck A conversation with Sally Krawcheck, CEO of Citigroup's Smith Barney unit, about the company's recent reorganization. |
Registered Rep.
April 1, 2008
Halah Touryalai |
Clients in Your Pockets Playing hopscotch from one firm to another, without losing all of your clients, may soon get a little easier. That is, if the SEC's proposed amendment to privacy policy rules, also known as Regulation S-P, is approved. |
Registered Rep.
April 1, 2008 |
Spitzenfreude Some on Wall Street think that Eliot Spitzer had it coming. |
Registered Rep.
April 1, 2008
Kristen French |
Runaway Growth: Rep-As-Advisor Assets Explode In the past year, as a result of the end of asset-based fees in non-advisory managed-account programs, assets in nondiscretionary rep-as-advisor programs have ballooned. |
Registered Rep.
April 1, 2008
Christina Mucciolo |
Mini Mess Fidelity Investments is paying big bucks in fines for a party involving little people. |
Registered Rep.
April 1, 2008
Christina Mucciolo |
Citi Reorganizes For Smith Barney Citigroup announces plans to reorganize its private bank and Global Wealth Management division into four separate units according to client wealth. |
Registered Rep.
April 1, 2008
John Churchill |
The Failure Chain Consider the curious and rather grotesque case of Gary J. Gross, a financial advisor from Boca Raton, Fla. Gross' U4 is close to 100 pages long, and lists 35 customer complaints. |
Registered Rep.
April 1, 2008
Christina Mucciolo |
The Eclipse of Paper The process of scanning documents and storing them using document-management software has finally taken hold of the mainstream in the brokerage industry. |
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