Rick’s Cabaret International, a publicly traded strip, er, “gentleman’s club” will be hosting a special “Stockbroker’s Due Diligence Ball” at its New York City mammary mecca...
We, the editors of Registered Rep. magazine, are officially opening our annual hunt for the best in the business. That’s right, we’re asking for nominations for the Outstanding Broker Awards. Now in its...
Broker/dealers had a very strong 2005. But so too did the regulators. According to Susan Merrill, chief of enforcement for the New York Stock Exchange Regulation, 2005 was a “landmark year for enforcement.”...
When William Donaldson stepped down as SEC chairman, the perception was that the reform movement had also left the building. The White House replaced him with California Congressman Christopher Cox, known for his anti...
The top executives of the nation’s biggest securities firms have gathered once again at their annual meeting, and declared that 2005 will go down as one of the industry’s best years ever. Profits of the...
If you are reading this magazine, you've probably been on the hunt for high-net-worth clients for years. Indeed, most financial advisors from the independent working out of his home office to the Merrill Lynch veep in...
When the SEC ruled in April to re-propose the so-called Merrill Exemption, permitting Series 7 licensees to continue to call themselves financial advisors, thousands of reps and their firms heaved a sigh of relief...
FundAlarm.com may not be a household name, but the Web site, founded by Roy Weitz in 1996, has an influence more powerful than the 125,000 user hits the site receives a month, (about a third of them are on the site's...
Turns out that cross selling investments to American Express cardholders wasn't so after all. Saying there are few critical strategic links between the two businesses that create a compelling case for keeping them...
