Many investors have recently discovered a new lucky number: 529. Named after Section 529 of the federal tax code, these 401(k)-style college savings plans have grown in popularity in the past few years (see cover story). Here are some Web sites...
When Bonnie Raitt and Jackson Browne blow through Seattle to perform at a downtown nightclub or charity event, First Union Securities rep Joel Tepp often shows up. Onstage. Over the years, Tepp has backed up rock legends including the Spencer...
In its trading debut in late 1999, VA Linux Systems' shares soared as the public plowed money into a would-be Microsoft killer. Not. Turns out that VA Linux's record one-day pop might really have been driven by manipulation. At least that's what...
Political and social agendas aside, here are some Web sites that provide basic information on socially responsible investing: The Social Investment Forum's Web site, socialinvest.org, provides a wealth of information, not the least of which is a...
When we were kids, our teachers would attempt to keep us in line by threatening, Behave, or this will go on your permanent record. I used to think there was no such thing then I started defending registered reps. All of us have heard horror...
When the brokerage industry proposed Rule 1150 to the Securities and Exchange Commission to grant firms qualified immunity from defamation charges regarding remarks placed on U-5s the NAIP immediately recognized that the regulation could be...
It's one of the most indelible screen images of recent years after rolling through a pit of fire to gain access to Alcatraz, a weathered Sean Connery emerges and announces defiantly, Welcome to the rock. The last few years haven't been that much...
Judging by all the ink it's been drawing ink and dollars socially responsible investing is a hot topic among investors, perhaps even your clients. By late last year, 12 percent of investment assets under professional management adhered to some...
The CBM Group, a New York-based consultancy, has amassed data about the performance of reps and other sellers of financial products, from which it has created a new way of measuring broker performance. The method ranks a rep against his or her...
Jessica Bibliowicz's assistant pops her head in the door with big news: Lenox Advisors has agreed to sell its high-end financial advisory business in Manhattan to National Financial Partners. This acquisition Bibliowicz's 101st brings her company...
