Prudential Insurance Company of America today officially changed its name to Prudential Financial. The name and logo of Prudential Securities will remain unchanged. Prudential will use its new name for its U.S. financial services business and its...

Canadian brokerage firms will soon have to file quarterly reports disclosing to the national regulator certain types of client complaints. It’s about being “more proactive and transparent” to investors, says Joe Oliver, president...

Former A.G. Edwards broker Jimmy Lindsey and his brother Randy won a $150,000 judgment against the St. Louis-based firm, according to an NYSE arbitration case. A.G Edwards was ordered to wipe out a $128,571 debit claim against the Lindsey’s...

Searching For And Keeping Clients Wealth management practitioners having trouble keeping their address books filled with loyal customers By Christopher Weems, Associate Editor Clients are becoming a scarce asset for financial services...

Coming To A Wal-Mart Near You: Tax-Free GRATs By Deborah V. Dunn, Kirkland & Ellis, Chicago. IL In a victory for taxpayers, the Tax Court held in Walton v. Commr., 115 T.C. No. 41 (2000), that Reg. Sec. 25.2702-3(e), Example 5 is an invalid...

Oddlots Random samplings of new affecting the estate planning industry Compiled by Christopher Weems, Associate Editor Send an e-mail with your news item Income Redefined for CRTs, PIFs, Other Trusts: Proposed Regulations IRC Sec.643(b)'s...

Oddlots Random samplings of new affecting the estate planning industry Compiled by Christopher Weems, Associate Editor Send an e-mail with your news item Seminar Discusses Planning For Same-Sex Partners Affluent same-sex domestic partners and...

A.G. Edwards today rolled out its broker home pages. Reps are able to include personal and business information on the sites, as well as customize them for specific clients, according to Mike Flood, the firm’s vice president and manager of...

Jan. 30, 2001 Morgan Stanley Dean Witter reps aren’t too phased by loss of the Dean Witter name.The firm plans to drop "Dean Witter" from its name, erasing the 76-year-old brand four years after the merger that created the biggest U.S...

Jan. 16, 2001 In a speech tonight at an investor "town hall" meeting in Philadelphia, SEC Chairman Arthur Levitt Jr. continued to chastise brokers and the industry, and warned the attendees to assert their rights. "Both in the private sector...