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Location State: AL Base Salary: 70,000 - 100,000 DOE Bonus & Incentives: Bonus opportunity is 25-30% of base salary Position Responsibilities: This is a great opportunity to be part of trust operations senior management group. This position is...
Location City: Harrisburg Location State: PA Base Salary: $85,000 Bonus & Incentives: Yes Position Responsibilities: Assumes responsibility for administration of complex personal trust accounts to include high net worth client relationships...
Location City: Los Angeles, LA Metro Location State: CA Base Salary: 100K + D.O.E. + 50-100K Bonus Bonus & Incentives: Paid based on their book of business Position Responsibilities: Work with high net worth clients - above $1 mil net investible...
A broker won nearly $10 million from his former employer, Waddell & Reed, last week—six years after first suing the broker/dealer for smearing his reputation and eight years after being fired in the wake of his testifying against the firm at...
Three years after the SEC charged five Boston-based Prudential Securities brokers for abusive mutual fund trading, one of the accused is being temporarily barred from association with any broker/dealer or investment advisor.
For the first time in its 68 years as a self-regulatory organization, the National Association of Securities Dealers sued the Securities and Exchange Commission over a right it was never granted. Guess what? It lost.
Broker/dealers had a very strong 2005. But so too did the regulators. According to Susan Merrill, chief of enforcement for the New York Stock Exchange Regulation, 2005 was a “landmark year for enforcement.” In a “year-in-review&...
It is by now old news that Linsco/Private Ledger sold a 60 percent stake in itself to two private equity firms in late October, after years of talk about taking the firm public. The deal values LPL at $2.5 billion, a very nice price indeed: The...
After vastly simplifying it’s payout structure earlier this year, Wachovia Securities announced in a memo to brokers Tuesday that it would make some more tweaks in 2006 and raise ticket charges on some in-house money management products to...
A mother-daughter broker team won a $1.98 million sex-discrimination arbitration award from Merrill Lynch, as the brokerage giant got dinged—again—for allegedly mistreating its female reps.
