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Peter Scannell wants his cut. The former Putnam Investments employee, who blew the whistle on the Boston-based fund giant's market-timing practices, has filed a lawsuit seeking 30 percent of the firm's $50 million fine, according to a report in...
Advisors trolling for small business clients are discovering what mate-seeking singles have known for years: cyberspace is the place. The old methods of small business prospecting, such as hanging around the Chambers of Commerce and Kiwanis clubs...
The way things started out, William Scott seemed like a class act. In 2002, when his employer, Prudential Securities, decided to create a complex by merging his Dayton, Ohio, branch with one in Cincinnati, Scott won the competition to manage it...
If you are reading this magazine, you've probably been on the hunt for high-net-worth clients for years. Indeed, most financial advisors from the independent working out of his home office to the Merrill Lynch veep in a downtown skyscraper have...
Discrimination lawsuits against Morgan Stanley could start rolling in from brokers laid off in August, say labor lawyers. The firm got rid of 1,000 low producers according to a strict performance-based system, but women in the retail brokerage...
The war in Iraq has cost Elton Johnson just about everything. Johnson, owner and operator of Amerivet Securities, a small broker/dealer in Inglewood, Calif., is a major in the U.S. Army Reserve who has been on active duty since Dec. 2001. He...
Hydie Sumner is on the cusp of winning a battle many think she was crazy for waging. Sumner, a former broker who successfully sued Merrill Lynch for sexual discrimination, has been trying for seven years to reacquire her job at the firm. Now an...
Unless you're superhuman, chances are good that some aspect of your practice is in need of tweaking. We're here to help. This new column will take challenges confronting real-life advisors and place them in front of a panel of experts who will...
Registered investment advisors continue to take home fatter paychecks than their counterparts at regionals and wirehouses, even after factoring in the RIAs' higher overhead. According to research from Moss Adams, RIAs with a $1 million practice on...
