When the mutual fund scandals broke in September 2003, New York Attorney General Eliot Spitzer and other politicians described the misdeeds in black-and-white terms. According to the original story line, the villains were mainly mutual funds who...

Location State: LA Base Salary: Flexible DOE Bonus & Incentives: Lucrative incentive plan. Incentive pay is for first year fees and for re-occurring fees. Position Responsibilities: Rapidly expanding independent trust company seeks someone to sell...

Location City: FrederickLocation State: MD Base Salary: $40,000 to 50,000 Bonus & Incentives: Incentive pay is based on production and is paid out for each type of bank product with no cap on the earnings. Position Responsibilities: Primary...

Location State: North Carolina Base Salary: 60-70,000 Bonus & Incentives: Based on company performance. Position Responsibilities: Responsible for managing Trust Operations Department. Oversee staff of 3-4. Reporting directly to Trust president...

Location City: Grand RapidsLocation State: MI Base Salary: 100,000 -110,000 Position Responsibilities: Develops, recommends, and directs execution of investment programs designed to achieve the objectives of a group of large and complex client...

Location City: Western New York StateLocation State: NYBase Salary: $100,000 - $110,000, DOE Bonus & Incentives: Bonus flexible based on 25% bonus pool. Amount tied to company & individual goal attainment. Position Responsibilities: The Wealth...

Location City: San DiegoLocation State: CA Base Salary: $90-100k Position Responsibilities: We are in search of an experienced business development officer in the San Diego market. This person will work on their own in developing relationships...

Fee-based brokerage may be here to stay, but regulators are putting it through the wringer. On Tuesday, Morgan Stanley became the second firm to be penalized this year for failure to supervise its fee-based brokerage business. The NASD says the...

For Morgan Stanley brokers, the kind of flattery that Philip Purcell seemed to demand during his tenure there isn’t going to work on John Mack. Addressing his retail force on a firm-wide conference call Monday morning, Morgan Stanley CEO...

For registered rep reservists serving in one of the nation’s armed forces, coming home and returning to the job is soon to get a lot easier. Of course, the NASD says there is nothing it can do to prevent colleagues from stealing a GI advisor...