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Ann Therese Palmer

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Too Much Information
Sep 01, 2007
Q: On a periodic basis, I prepare appraisals of my clients' accounts. Some of my clients have expressed interest in continuing to receive these appraisals, others have told me that they don't review them, and a few...
The Unscrupulous Manager
Feb 01, 2007
A colleague of mine recently left our firm and the business, asking me to take care of a few of his clients. One client about whom he was concerned happens to be his cousin. My colleague was new to the business, and...
Know When to Hold 'Em, Know When to Fold 'Em
Dec 01, 2006
Q: I've been a certified financial planner and investment advisor rep for six years, but have worked in the industry for 15 years. I'm planning a client-appreciation event and I've been polling my clients. They say...
Listen to Your Client
Nov 01, 2006
If a client insists on liquidating part of her portfolio, particularly assets that are heavily concentrated, it's very risky to ignore her request
Agent or Fiduciary?
Oct 01, 2006
The line between brokers and fiduciaries has gotten blurry. When does a broker cross over?
The Calling
Mar 01, 2006
Don Haisman used to design submarines. But he always wanted to be a financial advisor
When Industry Routine Offends Your Ethics
Feb 01, 2006
What does an advisor do when clients at his firm are routinely charged an undisclosed commission on top of fees and he suffers for not falling in line? Q: I work for a major wirehouse. Like most others in our industry...
Watching the Insiders
Oct 01, 2005
Talk about playing hardball. Back in 1990 when Nell Minow was at Institutional Shareholder Services (ISS), a corporate governance watchdog, she was confronted with the task of having to call a board member of Aon Corp...
Making the Grade: How Does Your Firm Stack Up?
Oct 01, 2005
According to studies by McKinsey & Co., institutional investors are willing to pay a 12 percent to 14 percent premium for well-governed companies in North America and Western Europe. At Registered Rep.'s request The...
Governance Alpha
Oct 01, 2005
It sounds nice: Making money by investing in companies guided by enlightened executives. But do companies that play nicely really outperform those companies who are controlled by selfish and greedy executives? The...
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