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.
Janney Montgomery Scott LLC hired Edward Walters as director of investments in the firm's wealth management division and David Mullan as director of performance reporting in the operations division. Walters joined from Ferris, Baker Watts, Inc....
Oscillation Productions is selling a CD called Playing the Market, a compilation of compositions based on patterns found in the stock market and other economic data. The album released in 2006 features 11 tracks, such as Long Bond Irrational...
It is no secret that Wal-Mart has an insatiable appetite for expanding the reach of the products and services it offers. But now, behold, the behemoth has ventured onto your turf: financial advice. Meet Wal-Mart Easy Investing by Sharebuilder. Wal...
Registered Rep. spoke with Mark Goldberg (former CEO of Royal Alliance Associates) about his new endeavor, Private Wealth Management, which provides independent wealth management firms with capital to help them grow. Registered Rep.: What does...
St. Louis will officially be home to the new Wachovia Securities, after Federal Antitrust regulators approved Wachovia Corp.’s acquisition of A.G. Edwards on Monday. Wachovia says the proxy detailing the ins and outs of the deal for...
Merrill Lynch was hit by yet another discrimination suit yesterday. This time the Equal Employment Opportunity Commission, the federal agency that enforces laws regarding workplace discrimination, is heading the complaint on behalf of former...
Registered Rep. Readers Are Awash in Numbers: Government statistics, agency reports, news releases, interest rates, and stock quotes. And so, we’ve selected a few fascinating statistics here that illuminate the markets, the world of financial...
Having had time to digest the March ruling by the U.S. Court of Appeals for the District of Columbia that overturned SEC Rule 202—the so-called “Merrill Lynch” rule—branch office managers still say they’re not sure...
A New Jersey Appellate Court ruled in favor of Smith Barney’s deferred compensation plan on June 15, reversing a lower court’s decision that said the firm’s Capital Appreciation Plan (CAP) violated New Jersey wage laws. The...
