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Advisors of a certain age might remember an old Heineken beer ad campaign based around this phrase: Just being the best is enough. The idea, of course, being that the beer was so good it sold itself. A surprising number of advisors subscribe to a...
Smith Barney is facing a new round of sex-discrimination suits. A quartet of financial consultants from California has filed a national class-action lawsuit against the firm in a San Francisco federal court. The suit alleges systemic sexual...
Q: Many firms use third-party investment research to cover companies their own analysts don't or to supply a second opinion. As part of these arrangements, the firms often enter into contractual agreements with unregistered third parties. The...
When the SEC ruled in April to re-propose the so-called Merrill Exemption, permitting Series 7 licensees to continue to call themselves financial advisors, thousands of reps and their firms heaved a sigh of relief. Technically, a Series 7 license...
If legal filings are a leading indicator of the amount of trouble a particular industry is in, the securities industry can start to breathe a bit easier According to the NASD, the number of new case filings dropped by 8 percent, to 8,201, in 2004...
Eva Yee May Sung forged the signatures of public customers and a branch manager on forms authorizing Sung to become the new representative of certain brokerage accounts. OK, now, no peeking what sanction do you think the NASD imposed on Sung when...
The corporate way of communicating has been so bad for so long, many of us have stopped caring altogether. It's a natural reaction: If something is annoying and unavoidable, ignore it. Trouble is that, in the brokerage industry, corporate are...