George Kinder, George D. Kinder Financial ServicesGeorge Kinder, CFP, remembers the feeling he had when he first stepped off the plane in Hawaii. I knew I had come home. I knew I had arrived where I was meant to be.His reaction surprised Kinder, a...
Do you know if any of your clients are going through divorces? Do you know if any of them recently lost a parent? Chances are you know a lot less than you think.Thats what Salomon Smith Barney discovered last year when it began designing a...
Last fall, the NASD sanctioned Merrill Lynch, Bear Stearns and Biltmore Securities for using illegal New York choice of law clauses in customer arbitration agreements.The clauses are sometimes buried in the fine print of customer agreements. They...
In a realignment of its fund business, Morgan Stanley Dean Witter has placed institutional and individual asset management under one executive. Mitchell Merin, former head of Dean Witters proprietary funds, will oversee all asset management...
Mark Eshman, Imperial Capital LLCThe January 1994 Northridge earthquake rolled through Santa Monica, Calif., without even waking Mark Eshmans daughters, then ages 3 and 5. But it jolted Eshman, a managing director and retail broker at Imperial...
Barry Freedman, Freedman Financial AssociatesBarry Freedman regularly mixes work and play on Florida golf courses. The technology we now have lets me pull up a clients account from a golf cart, he says. Since 1993, Freedman, a CFP and chairman of...
Salomon Smith Barney, Prudential Securities, Merrill Lynch and an educational arm of the Securities Industry Association have expanded the educational programs they developed to help brokers reach young investors at local schools.On Feb. 25, about...
Josephthal & Co. is an anomaly on Wall Street. As one of the few remaining privately-held investment banks and brokerage firms in operation, it has avoided being swallowed in the merger and acquisition frenzy that eliminated so many of its...
Prudential Securities Charles Andriole hated commissions so much that he wouldnt go after stock business when he became a broker in 1982. Bonds offered great yields, so building long-term bond portfolios seemed a good way to cut down on asking...
If you want to call yourself a financial planner in Canada, youre going to have to prove your worth.Under a proposed rule, stockbrokers, investment advisers, mutual fund salespeople and insurance reps who want to engage in planning will be...
