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Will Leitch

Will’s Recent activity

NASD: Brokerages Owe $86M To Investors
Nov 05, 2003
The investigation into mutual fund breakpoints shows that investors were consistently overcharged for mutual fund purchases when they should have been discounted.
Fund Scandal Implicates Stockbrokers
Nov 03, 2003
The mutual fund trading scandals headlines seemed to implicate mutual fund family executives and hedge funds—everybody but individual retail brokers and brokerage management. But a new survey by the SEC charges...
SIA: Profits Will Rock in 2003
Nov 01, 2003
The Securities Industry Association is projecting 2003 as one of the most profitable years ever for Wall Street although revenues are off steeply from last year. For those of you able to do the math, the profit news...
Among Indies, LPL Reps Are Happiest
Nov 01, 2003
In the wake of numerous Wall Street scandals and the move by wirehouses toward more comprehensive financial planning initiatives (ones that many independents have been hawking for years), independent broker/dealers...
Playing Hard to Get?
Nov 01, 2003
When it named Robert Bagby as CEO in March 2001, A.G. Edwards all but staked a For Sale sign in front of its St. Louis headquarters. Or so everyone thought. Bagby, despite being an A.G. Edwards lifer (he has been with...
UMAOprah, OprahUMA
Nov 01, 2003
The rapid growth in separately managed accounts has given firms little time to organize their offerings in a coherent way. However, that is starting to change, according to Cerulli Associates, a Boston-based research...
Mr. Rep Goes to Washington
Nov 01, 2003
The volume of new regulations targeting the securities industry has left reps feeling a bit picked upon particularly independents, who have no real organized way to have their voice heard in the legislative process...
Patriot Act a Beastly Burden for Small B/Ds
Nov 01, 2003
The front lines of the war on terror, it turns out, are the cramped offices of compliance officers across the country. The USA Patriot Act has made this so, mainly through its much-debated Section 326, which...
Hard Words from Tom James for After-Hours Traders
Oct 22, 2003
WASHINGTON, D.C.—Investors angry about mounting evidence of mutual fund trading irregularities have nothing on Raymond James chairman and CEO Tom James. “It’s fraud, plain and simple,” James...
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