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Below is the transcript of an affidavit from a case in which Bear Stearns attempted to impose a temporary restraining order on departed broker Doug Sharon. Sharon left for Morgan Stanley on March 17 the day after J.P. Morgan made a deal to buy the...
New York City's Independent Budget Office estimates that the city could lose over 20,000 jobs in the financial sector over the next two years as the mortgage credit crisis squeezes Wall Street profits. New York Stock Exchange member firms that...
Are closed-end fund preferred-auction securities safe? We consider CFPs to be the conservative's conservative security. Defaults are even rarer than failed auctions. We are comfortable with the safety of auction securities from closed-end funds...
The engagement letter is here to stay and constitutes best practice for both lawyers and clients in estate planning. But it wasn't always so. Indeed, the use of engagement letters is a relatively new phenomenon. For generations, a simple...
RegentAtlantic Capital was ahead of the game. In 1996, the fee-only RIA in Chatham, N.J., went paperless a move that put it a decade ahead of its peers. RegentAtlantic manages $1.8 billion in assets for about 900 clients, and when the firm moved...
A few weeks ago I had one of those blinding glimpses of the obvious. It dawned on me that despite the grinding intensity with which some advisors focus on attracting, serving and developing loyal relationships with affluent clients, a very...