These are the Best of Times?

Jan 08, 2002

New Page 1 PRIMEDIA’S REGISTERED REP EDITOR TELLS STOCKBROKERS THESE ARE “THE BEST OF TIMES?” Led by Editorial Veteran, David Geracioti, January 2002 Issue Declares That the Broker Is Back and Has Won the Battle on Wall Street &...

THE BEST OF TIMES?

Jan 08, 2002

PRIMEDIA PRIMEDIA’S REGISTERED REP EDITOR TELLS STOCKBROKERS THESE ARE “THE BEST OF TIMES?” Led by Editorial Veteran, David Geracioti, January 2002 Issue Declares That the Broker Is Back and Has Won the Battle on Wall Street New...

The Best of Times?

Jan 08, 2002

New Page 3 PRIMEDIA’S REGISTERED REP EDITOR TELLS STOCKBROKERS THESE ARE “THE BEST OF TIMES?” Led by Editorial Veteran, David Geracioti, January 2002 Issue Declares That the Broker Is Back and Has Won the Battle on Wall Street...

For Clients: Anticipating the Worst is One of The Best Ways to Secure Loved Ones' Futures

Jan 07, 2002

For Clients: Anticipating the Worst is One of The Best Ways to Secure Loved Ones' Futures NEW YORK -- "Financial planning is not just for the elderly, the ailing or the rich," says Bob Lawrence, Partner and Chairman of the Private Client...

Elimination of 30-yr Treasury Bond Increases Need for Fixed-Income Alternatives

Jan 07, 2002

Elimination of 30-yr Treasury Bond Increases Need for Fixed-Income Alternatives -- CNBC's Street Signs recently welcomed Leo Wells, president of Wells Real Estate Funds, to the program to share his "street smarts" on the real estate market after...

FORECAST 2002: After EGTRRA and Sept. 11

Jan 04, 2002

Forecast 2002: Estate Planning After EGTRRA and Sept. 11 Two Affairs to Remember By Roy M. Adams Partner, Kirkland & EllisNew York, New York As I sit down to write a column predicting what will happen in 2002 and beyond in our industry, two dates...

New Year, New Look, Same Dedication to Our Readers

Jan 04, 2002

In a few days you will receive the January issue of Registered Representative. Make that Registered Rep. Thats right. We have a new name and a new look for the New Year. Weve completely redesigned the magazine, with a simple, elegant design and...

SSB Dings Low-End Producers

Jan 02, 2002

Salomon Smith Barney brokers who produce less than $250,000 and have been in the business for five years or more will receive a lower payout of 1%, according to brokers familiar with the compensation change. The 1% hit is viewed by brokers as a &...

UBS PaineWebber Succumbs to Pressure, Says It Will Not Fine Reps For 'Flipping'

Dec 28, 2001

After receiving hundreds of complaints from brokers, UBS PaineWebber switched gears and decided it will not penalize reps whose clients quickly sell shares in new IPOs, a practice known as "flipping." The firm issued an e-mail to brokers on...

Update: NASD’s Ruling on Client Account Transfers ‘Clear Victory’ For Brokers, Customers

Dec 27, 2001

The NASD’s new ruling on client account transfers “is a clear victory for brokers and customers,” securities attorney Jim Eccleston said today. The NASD announced Wednesday that it will bar member brokerage firms from blocking...