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Clients may want to string up Bernie Ebbers and Ken Lay when they see what the corporate scandals are doing to their portfolios. But this is an opportunity for you: Investors aren't holding their financial advisors personally responsible for their...
In the Great Buying Panic of the 1990s, investors abandoned common sense and placed their bets and they got killed. They took as real the illusions spun by an SEC-led regulatory regime: Equal opportunity for all, unadulterated financial reporting...
In these trying times, many reps feel a financial pinch. For some, the simplest route is to max out their credit cards; others take a second job. However, many will turn to family and friends for a loan. Unfortunately, many a is also a and...
As we are reminded all too often, investor confidence in the U.S.'s financial markets may be at a low unseen since the Great Crash. You've got your outright frauds (the Enrons and WorldComs), your bankruptcies (Global Crossing) and even some good...
Consider this: Two years ago you worked for XYZ broker/dealer's Westchester County, N.Y., branch. After a short stint, you moved to another firm, with an unblemished record. So why is the NASD demanding your presence at an on-the-record interview...
When even H&R Block joins the wealth management fray, you know the competition for upper middle class and affluent investors is feverish. Everyone wants rich investors, and they want to manage all of their money. It's like what infamous Willie...
Setting up retirement plans for your business clients can be risky. Nevertheless, there's a recipe for protecting yourself from unpleasant surprises. In the past two decades, registered reps have helped business clients establish thousands of 401...