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David Gaffen

David’s Recent activity

The Broker and Brand X Syndrome
Jan 01, 2005
The 1984 movie Repo Man had a number of irreverent things to say about society, but none so memorable as its nose-thumbing at the nation's obsession with branding. As the movie's antihero, Otto, wends his way through...
Is Wall Street Abandoning Main Street?
Dec 01, 2003
Nary a day passes without some brokerage firm or another announcing an initiative aimed at attracting wealthy customers. With their new private wealth management groups, more sophisticated money management offerings...
Brokers React to Citi's Research Move
Nov 01, 2002
It was Smith Barney brokers who gave Sandy Weill the idea to hire Sallie Krawcheck, former head of Sanford C. Bernstein. Brokers had suggested that the Citigroup Chairman buy the independent research firm from...
California Arbitration Jam Gets Worse
Sep 18, 2002
California’s arbitration tussle with the NASD and NYSE continues to worsen, and the fight may not end for several more months, which means more delays in the arbitration system will occur.
Fighting Your Firm's Research Machine
May 01, 2002
Whom do you trust? That's what brokers are asking as they try to avoid the fate of fired UBS PaineWebber broker Chung Wu and still serve their clients.