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Dan Jamieson

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A Footnote to the Levitt Legacy
Feb 01, 2001
While advocating for investors, he forgot about brokers.You've read about the wonderful pro-investor legacy SEC Chairman Arthur Levitt Jr. leaves as he exits office this month.No argument there. Levitt learned to use...
Levitt Acknowledges Account-Transfer Problems
Feb 01, 2001
Levitt Acknowledges Account-Transfer Problems Says brokers should warn clients about nonportable products.In a January speech to investors at a town hall meeting in Philadelphia, SEC Chairman Arthur Levitt Jr...
Prudential Nixes Investment Banking
Feb 01, 2001
Prudential Nixes Investment Banking Analysts will focus on investors, not issuers. Prudential Securities is eliminating its investment banking effort and realigning its research to support clients.Since the December...
Hey, Financial Advisers!
Jan 01, 2001
Did you know you're just simple salespeople? From time to time I encounter firms and brokers who object to our use of the word broker or rep. Others have even wondered if the Registered Representative logo is a bit...
Ben Edwards Announces Retirement Plans
Jan 01, 2001
Ben Edwards Announces Retirement Plans A.G. Edwards reps like new management, but worry about possible policy changes.A.G. Edwards announced in November that its 69-year-old chairman, CEO and president, Ben Edwards...
The 4-60 Rule
Dec 01, 2000
You've heard of the 80-20 rule - 80% of your business comes from 20% of your clients. Consultants Rod Hagenbuch and Rich Capalbo say there's also the "4-60 rule." That is, 4% of your revenue comes from the bottom 60%...
Leave Brokers Alone
Dec 01, 2000
Managements don't have to do much more than that.I hate to admit it, but our annual Brokerage Report Card survey turns up similar concerns year to year. What do brokers consistently want from a firm? In a word...
Hanifen Imhoff/Fiserv Nailed for Correspondent's Fraud
Dec 01, 2000
An NASD arbitration panel in October issued an award that found Hanifen Imhoff Clearing materially aided in the fraud of an introducing firm.The Denver-based clearing firm, now known as Fiserv Correspondent Services...
Idiot Reporters, Part II
Nov 01, 2000
Demand for personalized, knowledgeable service remains strong.A year ago in June, this column was titled "Idiot Reporters." Merrill Lynch had just announced it was slashing fees and getting into the discount business...
Judge Blasts Dain Rauscher in Raiding Case
Oct 01, 2000
Court upholds record $16.5 million award. A Minnesota state judge rebuked Dain Rauscher in supporting a record raiding-case award against it.Hennepin County judge Marilyn Kaman in August confirmed the $16.5 million...
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