Even if your employer terminates you claiming you were an at-will employee, you can assert a claim against the employer based on other legal doctrines. My first conversation with a terminated or demoted securities industry employee usually starts...
Web Wiz Randy Carver's technology sidekick can't fit in his jacket pocket. Nor can it be held in the palm of his hand. That's because his indispensable tool is the Internet itself. The Web is the lifeline of Carver's business. Actually, it's so...
Page 2 Financial Planning Programs Company Product Name/Cost Key Features Advisory World 800/480-3888 www.advisoryworld.com Power Optimizer $395/year, plus $86 for monthly updates or $201 for quarterly updates Features advanced computer models to...
Some of the 2,000 residents of Norfolk, Conn., call stockbroker Bill Donaldson a real trooper. But they're not talking about his determination and can-do attitude during bearish market conditions. Besides working a book of business as a broker and...
Canadian securities industry watchdogs now have a bigger bite and a louder bark thanks to beefed up budgets and more staff. There's a get-tough attitude being instilled in all branches of the Ontario Securities Commission [OSC], says John Hall, an...
The NASDR wants to stop firms from freezing customer accounts of brokers who have jumped ship. In a May 7 press release, the regulator said it will seek comments on an interpretation of existing rules that would prohibit any member firm from...
Wouldn't you like to peek over your client's shoulder and watch how he manages his finances and investments online? Now you can. In April, Registered Representative conducted a national telephone survey of 200 clients to see what they are up to on...
Elroy, a beautiful 1-year-old black Labrador retriever, stands upright like a statue, glaring directly at a guest walking into Alan Rosenberg's office in Granada Hills, Calif. Rosenberg may joke about needing protection after some of his stock...
Prudential Securities in April offered to extend the time recruits have to pay off promissory notes. Branch managers say the move was made to ease brokers' tax bills in a time of declining production. Some guys were feeling pinched, says one West...
Prudential Securities has set up a call center in Scottsdale, Ariz., to manage small accounts. Details have yet to be announced, and it was not clear at press time whether the center was up and running. A firm spokesperson would not confirm...
