MAY

Bubble Burst, Someone Must Pay. Will It Be You? NASD Arbitration Filings Continue to Rise

Pitt, Upstaged by Spitzer, Launches HedgeFund Probe

New RJFS CEO Wants To Help Reps ‘Double’ Production

Merrill $100M Fine Fallout: Smith Barney Tells Reps it Will Change Research Practices

One Door Closes, Another Opens: Merrill May Face Class Action Litigation

Morgan Stanley Gives Heave-Ho To Do-It-Yourselfers, Reaffirms Consulting Approach

Komansky to Merrill Brokers: Our Name Has Been Tarnished

Merrill, in a Bid to Be More User Friendly, Revamping Account Statements to Remind Clients of Their Long-Term Goals

APRIL

NASD Arbitration Panel Orders Merrill To Pay $192,000 to Ex-Client

Pru to Slash Workforce; Up to 300 Small Producers on Chopping Block

Merrill Issues Talking Points to Brokers to Deny Any Wrongdoing

Merrill To Close More Private Client Offices, Gorman Says

Interest in Financial Planning Has Grown Since September 11: FPA Survey

With Merrill, Morgan Stanley Leading The Way, Wall Street Job Cuts Biggest in Quarter Century

UBS PaineWebber, in a Bid to Capture More Affluent Assets, To Offer Home Loans

Crooks Hack a Morgan Stanley Website; Defraud Unsuspecting Clients

Former Smith Barney Brokers Say Tapes Prove Their Innocence

Enron Fallout Spreading to Include Merrill, Solly Smith Barney, J.P. Morgan Chase, Sources Say

DB Alex. Brown Reps Campaign Against Name Change, Firm Listens

Industry Fears More "Malpractice" Lawsuits in Aftermath of Merrill $3 million Arbitration Hit

Bucking A Trend: Ed Jones Adds Brokers To Workforce, Profits Continue To Rise

Two Investors Sue UBS PaineWebber for Fraud

Merrill’s Magic Production Bullet?

Morgan Stanley Survey: Most American Families Not Saving For Children's College

Cerulli: Salomon Smith Barney Leads Managed Accounts

MARCH

Two Investors Sue UBS PaineWebber for Fraud

Merrill’s Magic Production Bullet?

Morgan Stanley Survey: Most American Families Not Saving For Children's College

Cerulli: Salomon Smith Barney Leads Managed Accounts

SunTrust Reps Offer New Fee-Based, Mutual Fund Asset Allocation Services

Survey: Financial Planners More Honest than Brokers, But Insurance Agents Rank Lower

Smith Barney Investigated By NYSE, Sources Say

Morgan Stanley Foils Tax Fraud Scheme Against NBA Owner

Brokers Serving as Branch Managers Under NYSE Microscope

The Securities Industry:

Is This the Beginning of the End of the Bad News?

RBC Dain Rauscher Completes Merger With Sutro

Merrill to Focus More On Wealthy in Japan, Komansky Says U.S. Market Has Bottomed Out

Whose Money Is It Anyway?

Solly Smith Barney Reps Lose CAP Request

Morgan Stanley Begins Charging Fees on Basic Accounts, Raises Costs for Other Services

A.G. Edwards To Slash 400 Jobs, Brokers Unaffected

Survey: Financial Planners More Honest than Brokers, But Insurance Agents Rank Lower

Smith Barney Investigated By NYSE, Sources Say

Morgan Stanley Foils Tax Fraud Scheme Against NBA Owner

Brokers Serving as Branch Managers Under NYSE Microscope

The Securities Industry:

Is This the Beginning of the End of the Bad News?

RBC Dain Rauscher Completes Merger With Sutro

Merrill to Focus More On Wealthy in Japan, Komansky Says U.S. Market Has Bottomed Out

Whose Money Is It Anyway?

Solly Smith Barney Reps Lose CAP Request

Morgan Stanley Begins Charging Fees on Basic Accounts, Raises Costs for Other Services

A.G. Edwards To Slash 400 Jobs, Brokers Unaffected

FEBRUARY

Despite Merrill's Poor Year, O'Neal, Komansky Get Seven-Figure Bonus

Morgan Stanley To Launch New Branding Campaign

Smith Barney Responds to Broker Suit

Brokers Sue Salomon Smith Barney and Analyst Jack Grubman

Pottruck Takes Over As Schwab's Retail Head, Firm Prepares to Launch Campaign to Snag High Net Worth Clients

Merrill Lynch Forms New Unit Within Private Client Group

Merrill Boosts Private Wealth Management Division

Schwab New Assets, Profits Continue to Drop

Merrill's Komansky to Leave CEO Post, O’Neal To Take Full Control

DB Alex. Brown Returns Fire: Now Offering Signing Bonuses to High Producing Reps

A.G. Edwards Joins SSB, ?Dings? Lower-Producing Brokers

First Union Securites Renamed Wachovia Securities

Bank of America to Expand Broker Corps

JANUARY

Fee-Based Business Doubles, Survey Says

You Just Got Scammed: SEC ?Fake? Web Site Can Sway Investors Back to Reps

Edward Jones Ranks No. 1 in Fortune Magazine's List of the 100 Best Companies to Work For in America

Bush Gives Pitt, SEC a Hand, Appoints Nominees To Vacant Commissioner Seats

Top Wire Houses Under Investigation in IPO Scandal

Merrill Brokerage Net Revenue Down 12%; Reps, Analysts Say Future Is Bright

NASD Arbitration Cases Set Record

Brokers to NASD: CRD Rules Already Too Onerous. Don't Make Them More So

Despite Huge Layoffs, Merrill Continues to Hire Brokers,

Pru Joins Fee-based Party: Lowers Commission Payout, Increases Fees,

SSB Dings Low-End Producers