In this section we present key findings and insights from our survey questions on practice management and operations, including services offered, the most time-consuming activities, professional designations, custody relationships and documentation trends.
Registered Rep.: What is your favorite cause? Jan Schalkwijk: That would have to be the environment. As an avid outdoor person, I rely on nature to recharge my batteries. RR: Who most inspired you to get involved in socially responsible investing...
Woodbury Financial Services, an independent broker/dealer and a subsidiary of The Hartford Financial Services Group, named Scott Carlson senior vice president of distribution. The Securities and Exchange Commission has named Donald M. Hoerl acting...
Craig has been trading commodities for over 20 years, and has posted long-term annual average returns of around 20 percent. Since April 2006, when he returned to the business after a brief retirement, his annual returns have averaged 23 percent...
After a posting record $8.9 billion quarterly loss in the second quarter, Wachovia could sell its mutual fund business, securities brokerage or its Northeast and Texas branches, according to analysts. But Wachovia says the brokerage isn’t...
UBS is facing the first nationwide lawsuit regarding auction-rate securities compliments of the New York Attorney General, who sued the firm for securities fraud.
