On one side is a growing group of WorldCom employee-shareholders, who are looking for more than $35 million that they claim was lost because of improper handling of their brokerage accounts. On the other side is Salomon Smith Barney, a major...
The Advocate: Raise Your Voices for Post-Enron Regulation
When the brokerage business was simpler, it was common for us to find that a key problem for poorly performing brokers was their inability to stay focused. However, the complexities of the fee-based advisory brokerage model can make even top...
This should come as no surprise, but it's worth repeating: The biggest opportunity for any broker is learning how to attract and service affluent clients. And there is no time like the present. The most powerful marketing force of all...
Sales assistants - who are they, what do they do, and how much do they make? Learn those things and more in the industry's first survey of sales assistants.A typical sales assistant looks something like the illustration here. She's a 38-year-old...
The MiFID II regulations, which take effect in January, seek to police conflicts of interest between managers and brokers and to keep managers from passing on the costs of research to their clients.
Five steps you need to take to save your career.
The new president is expected to delay, not kill the fiduciary rule, giving his administration time to review the change.
