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Tom Nelson

Tom’s Recent activity

Cooling Expectations
Mar 01, 2000
Once every few weeks Dave Almquist has floor duty at his A.G. Edwards office in Dana Point, Calif. Some of the phone calls he fields from the public are a little crazy. "People seem to be in a hurry to catch...
Dain Rauscher Loses Record Raiding Case
Feb 01, 2000
Minneapolis-based brokerage John G. Kinnard & Co. was awarded a record 16.5 million dollars by a three-person NASD arbitration panel in December in a case that accused Dain Rauscher of a premeditated raid of Kinnard...
SSB CAP Plan Suits Mount
Feb 01, 2000
The controversy over Salomon Smith Barney's Capital Appreciation Plan (CAP) is heating up.Four class-action suits have been served against the firm; the latest is a Jan. 4 filing in Florida. Former SSB reps have also...
Prudential Investments Expands Advisor 2000 Program
Feb 01, 2000
Prudential Investments Advisory Group's (PIAG) Advisor 2000, a marketing and training program for independent advisers, is being made available to Prudential brokers.PIAG provides outside advisers access to Prudential...
Flat Champagne
Jan 01, 2000
Less than three years ago, as the new millennium drew near, many firms were anticipating a year 2000 marketing push. For evidence, see our "Millennium Marketing" article in the September 1997 issue. The industry hoped...
Prudential Insurance Hit With 1.5 Million Dollar Award
Jan 01, 2000
Two former Prudential Insurance compliance officers were awarded 750,000 dollars each by a three-person arbitration panel this past July in a case alleging a cover-up of insurance sales practice abuses. The plaintiffs...