DECEMBER
UBS PaineWebber Succumbs to Pressure, Says It Will Not Fine Reps For 'Flipping' Dec 28, 2001
NASD Adopts New Rule Interpretation on Client Account Transfers Dec 28, 2001
UBS PaineWebber Brokers Begin Taking Hits For Flipping, Reps 'Furious' Dec 21, 2001
A.G. Edwards Reducing Workforce, Brokers Unaffected Dec 20, 2001
Morgan Stanley Brokers Cater to Existing Client Base in Light of Plummeting Revenues Dec 19, 2001
SSB Eliminates Annuity Trail Bonuses, Brokers Upset Dec 13, 2001
Merrill Salary Freeze Affecting Brokers ‘Indirectly’ Dec 11, 2001
Brokers’ Business Approach Vary as Market Soars Dec 10, 2001
NOVEMBER
UBS PW Pushing Fee-Based Business, Transactional Reps Upset Nov 30, 2001
New SEC Chief Has No Qualms About Sign-on Bonuses Nov 12, 2001
Report From SIA’s Boca Bash Nov 8, 2001
Merrill’s New Compensation Plan Rewards Fee-Based Brokers Nov 2, 2001
OCTOBER
Merrill Fires Rep Over Credit Suisse Letter Oct. 30, 2001
Merrill on Managed Accounts: Still Growing, Redemptions Low Oct. 23, 2001
Merrill's O'Neal Clarifies Cost Reductions Oct. 18, 2001
Ibbotson Offers Free Slide Showing Past Catastrophes Oct. 11, 2001
Merrill’s Gorman on Client Ownership, Priorities, Broker Pay Oct. 11, 2001
SIA Reports Terrorist Attack Cost Industry Over $1 Billion Oct. 9, 2001
Merrill Names New International Chief Oct. 3, 2001
Head of Retail Out at Piper Jaffray Oct. 2, 2001
Merrill Advances Commissions Oct. 2, 2001
SEPTEMBER
SSB Back at Greenwich HQ; MS Spreads Out Sept. 27, 2001
Two Key Merrill Execs Are Out Sept. 26, 2001
Merrill Cancels Broker Incentive Trips Sept. 26, 2001
Schwab Adviser Conference Still A Go Sept. 24, 2001
FPA Names New President Sept. 24, 2001
Merrill Names Gorman Head of Retail Sept. 21, 2001
Terrorist Trading is Speculation, SEC Enforcement Head Says, Sept. 20, 2001
Reps Hear Outpouring of Support, Sept. 17, 2001
SIA Closes NY Office, Sept. 17, 2001
SSB Employee Info; Greenwich St. SSB Office Closed, Sept. 16, 2001
At the Opening: Firms Warn About Volatility, Illiquidity, Delays, Sept. 16, 2001
Disaster Assistance: Brokerage Firm Employee Information, Sept. 14, 2001
Article Employee Deaths Under 40, Morgan Stanley Says, Sept. 13, 2001
Most OK, But “We’ve Lost Friends and Colleagues,” Purcell Says, Sept. 12, 2001
Merrill Lynch Announces “Virtually All” Employees Safely Evacuated from WTC, Sept. 12, 2001
Purcell Says “Vast Majority” of MS Employees Safe, Sept. 12, 2001
Salomon Smith Barney, Merrill Lynch Say Employees Successfully Evacuated, Sept. 12, 2001
Morgan Stanley is Functioning, Purcell says. Firm Denies Dow Jones Report, Sept. 11, 2001
SEC's Pitt Makes Statement Following Terrorist Attack, Sept. 11, 2001
EEOC Files Discrimination Suit Against Morgan Stanley. Firm Denies Charges, Sept. 10, 2001
Raymond James Offers Private Banking for Local Banks, Sept. 6, 2001
Morningstar Launches Managed Money Program, Sept. 5, 2001
AUGUST
Survey: Nearly 60% of Americans Do Not Have Wills, Aug. 28, 2001
Commentary: Funds Fight Folios, Lose. A Case of Hypo-Crisy, Aug. 24, 2001
Study: Investment Firms May Miss the Wealthy, Aug. 23, 2001
NASDR Analyst Disclosure Rule Would Harm Brokers, Lawyers Say, Aug. 17, 2001
Merrill Drops 1,700 Brokers in Six Months, Aug. 14, 2001
Brokers’ Median Pay Topped $366K Last Year, Aug. 13, 2001
Ex-Templeton Prez Wins $858K Award, Aug. 10, 2001
Royal Bank of Canada to Buy Tucker Anthony Sutro, Aug. 6, 2001
IMCA, ICIMC Move Closer to Consolidation, Aug. 2, 2001
JULY
UBS to Fine Reps for Flipping, July 31, 2001
Levitt Warns About Broker Conflicts, July 26, 2001
A.G. Edwards’ Business Drops by a Third, July 20, 2001
Merrill Says Major Retail Cuts Over, Fee Push to Continue, July 19, 2001
Is 'Series 7' a License to Kill? July 17, 2001
Merrill’s Call Centers Honored, July 12, 2001
ISO Developing International Financial Planning Standards, July 9, 2001
Morgan Stanley Launches Rep Homes Pages, July 3, 2001
GAO Report Faults SIPC, SEC, July 2, 2001
JUNE
SEC Issues Alert on Analyst Conflicts, June 28, 2001
Former J.P. Morgan Employee Launches Sex Discrimination Web Site, June 28, 2001
Affluent Goals: Preserving Wealth, June 22, 2001
SSB Exec Says Teams to Dominate Industry, June 20, 2001
Merrill Chief Calls Account-Transfer Problems No Big Deal. Ditto For Edward Jones, June 14, 2001
2001 Could Be Worst Year in Pension History, June 13, 2001
Update: CAP Cases Certified as Class Actions, June 11, 2001
Komansky on Retail Strategy, Merger Rumors, June 8, 2001
Former Merrill V.P. Now Runs Ameritrade. No TRO--Only Best Wishes, June 7, 2001
Salomon to be Dropped From Smith Barney Name in 2002, June 5, 2001
Top 10 Reasons Why FUS Deserves Wachovia, June 1, 2001
MAY
Number of Wealthy on Rise, May 29, 2001
NASD Wants Comment on Account Transfer Rule, May 24, 2001
American Century to Offer C Shares, May 23, 2001
First Union CEO Defends “Flawless” Acquisitions, May 21, 2001
A.G. Edwards Plans Acquisitions; No Call Centers, May 17, 2001
UBS PaineWebber Survey Shows Consumer Confidence Drops, May 16, 2001
SunTrust Vying for Wachovia, Bids More Than First Union, May 14, 2001
Absence of Schwab, E*Trade at Conference Draws Reps’ Attention, May 10, 2001
MLIM Prez Says Division has Regained Contact With Reps, May 9, 2001
NASDR Weighs in On Battle for Customer Accounts, May 8, 2001
Sutton Issues Challenge: Brokers, Call Your Clients, May 3, 2001
Morgan Stanley Establishes New Minimum of $200K, May 2, 2001
Prudential Insurance Is Now Prudential Financial, May 1, 2001
APRIL
Canadian Firms to Cough Up Complaint Info, April 27, 2001
Brothers Win Case Against A.G. Edwards, April 26, 2001
A.G. Edwards Debuts Broker Home Pages, April 23, 2001
Merrill Drops 800 Brokers During the First Quarter, April 18, 2001
AEFA’s New Broker Platforms Hurting Results, April 17, 2001
First Union Securities Will Become Wachovia Securities, April 16, 2001
Law.com On Rubin & Associates—The Firm That Sues Brokers, April 13, 2001
Merrill Lynch Becoming Top Trust Player, April 12, 2001
Pru’s IPO Filing Reveals Turnover Problem, April 10, 2001
Merrill Pushes New Team Philosophy, April 5, 2001
Morgan Stanley Says No Broker Layoffs, April 4, 2001
First Union Contemplates Independent Broker Channel Expansion, April 3, 2001
Morgan Stanley Name Change Official, April 3, 2001
MARCH
Dent Doesn’t Back Down, Still Predicts Dow to Hit 36,000, March 30, 2001
Merrill Retail Profits Jumped 17% in 2000, March 28, 2001
RJFS CEO Predicts Significant Jumps in Reps, Fee-Based Planning, March 27, 2001
Employees Bound by Arbitration Agreements, Supreme Court Says, March 22, 2001
Weakened Environment Will Impact Number of MSDW Reps, March 22, 2001
Fund Industry Fights Upstarts, March 20, 2001
SSB Wins Two CAP Cases, March 16, 2001
Merrill Unveils New Segmented Sales Force Structure, March 12, 2001
SIA Survey Shows Progress Made in Mutual Fund Portability, March 8, 2001
Web-Based Financial Services Have Yet to Win Consumer Acceptance, According to Study, March 6, 2001
Broker Conference Notes: In a Rough Market, Opportunities Abound, March 2, 2001
Merrill Expanding Wealth Management Group, March 1, 2001
FEBRUARY
SSB, Merrill Launch New Web Services, Feb. 28, 2001
Schwab to Provide Investment Consulting With Callan, Feb. 27, 2001
Securities Training Exec Sees No Signs of Hiring Slowdown, Feb. 22, 2001
First Union CEO Says 2001 Will Be Belt-Tightening Year, Feb. 16, 2001
MSDW Reps Have Mixed Reaction on Clinton Speech, Feb. 14, 2001
SSB Dropped From Asset Management Name, Feb. 12, 2001
Dain Retention Plan Unveiled, Feb. 9, 2001
E*Trade Slows Move Into 401(k) Arena, Feb. 8, 2001
Conflict Prevents Wick Simmons From Joining RJF Board, Feb. 5, 2001
Survey: Investors Paying For Advice 'More Satisfied,' Feb. 2, 2001
JANUARY
Merrill Lynch to Launch National Marketing Campaign, Jan. 31, 2001
MSDW Reps OK With New "Morgan Stanley" Name, Jan. 30, 2001
Merrill Sells Herzog's Retail Division, Jan. 26, 2001
Ben Edwards Says Upfront Bonus Aversion Hurt Firm, Jan. 24, 2001
Merrill Cost Cutting Pays Off, Jan. 23, 2001
Lockwood Preparing to Launch MAX to Compete With Mutuals, Jan. 19, 2001
Levitt Warns Public About Brokers, Congress, Jan. 16, 2001
Consultant Organizations IMCA, ICIMC Consider Merger, Jan. 10, 2001
NEWS ANALYSIS Better Late Than Never: Levitt Knocks Markets, Jan. 9, 2001
Raymond James Wants Wick Simmons as Board Member, Jan. 5, 2001
Merrill’s Corporate Cost-Cutting Spills Over to Branches Jan. 4, 2001
