DECEMBER UBS PaineWebber Succumbs to Pressure, Says It Will Not Fine Reps For 'Flipping' Dec 28, 2001 Update: NASD’s Ruling on Client Account Transfers ‘Clear Victory’ For Brokers, Customers Dec 28, 2001 NASD Adopts New Rule...
Merrill Lynch’s Stanley O’Neal and David Komansky were “limited” to $1 million cash bonuses in 2001, but the top two company executives received additional company stock to make up the difference, according to brokers at...
New Page 4 Brokers Sue Salomon Analyst Jack Grubman Former Salomon Smith Barney brokers blame the telecom booster for losses by WorldCom employees who followed Grubman’s advice New York – February 25, 2002 — Two Smith Barney...
Morgan Stanley is in the process of developing a new global branding campaign, yet the firm will not reveal the full details of the plan. The new branding campaign, which is being handled by the Chicago-based firm of Leo Burnett USA, will debut in...
Salomon Smith Barney, which was named in a suit yesterday by two of its former brokers in an Atlanta branch, said late yesterday that the counter-suit was without merit, largely relying on "hindsight" from the complaining parties--both the brokers...
New Page 1 Brokers Sue Salomon Analyst Jack Grubman Former Salomon Smith Barney brokers blame the telecom booster for losses by WorldCom employees who followed Grubman’s advice New York – February 25, 2002 — Two Smith Barney...
New Page 2 Brokers Sue Salomon Analyst Jack Grubman Former Salomon Smith Barney brokers blame the telecom booster for losses by WorldCom employees who followed Grubman’s advice New York – February 25, 2002 — Two Smith Barney...
New Page 2 Brokers Sue Salomon Analyst Jack Grubman Former Salomon Smith Barney brokers blame the telecom booster for losses by WorldCom employees who followed Grubman’s advice New York – February 25, 2002 — Two Smith Barney...
Two Salomon Smith Barney brokers charged with a number of customer complaints by WorldCom employee-shareholders have filed a cross-claim against the firm and a third-party claim against its high-profile telecom analyst, Jack Grubman, Registered...
Steven Scheid, the head of the retail at Charles Schwab, wanted more autonomy in leading the firm’s investing division. But he couldn’t get it, so he resigned this week, leaving CEO David Pottruck to run the division on an interim base...