J. David George not only revived his hometown's Fourth of July parade, he added an aerial attraction with a flyover by a stealth bomber. J. David George loves a parade. So in 1997, when the Indianapolis-based Salomon Smith Barney broker read in...
The SEC has asked the Federal Deposit Insurance Corp. (FDIC) inspector generals office to investigate the SECs handling of an examination begun in late 1996 of a Washington, D.C., Wheat First office, according to the whistle-blower in the case.The...
Much has happened in the 25 years Registered Representative has covered the brokerage industry. The role of brokers has changed from simple salesperson to full-service professional. Commission rates were deregulated and Glass-Steagall was repealed...
The two features on this page originally appeared in Registered Representative magazine. Climbing Too High? by Roz Retkwa February 1998 What Do We Do Now? by Michele Gabriel June 2001
The SEC yesterday issued an investor alert warning the public about analyst conflicts. The alert warns about investment banking ties, ownership stakes analysts may have, and describes what analyst recommendations might really mean. The statement...
The plaintiff in a sex discrimination suit filed against J.P. Morgan in April has launched a Web site to help other women find information about discrimination in the brokerage business. Former investment banking associate Amy Segal launched www...
