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The day after his retirement in December, Edward Jones broker Jim Goodknight, 60, headed to the lake by his home in Joplin, Mo., to spend some well-deserved time fishing. Seeing him alone, surrounded by silence, it...
With total arbitrations expected to hit an all-time high this year, reps must be vigilant in client dealings or they may get hit where it hurts in the pocket. Through the first six months of the year, arbitration...
It took WorldCom to give Sen. Paul Sarbanes clout. Chairman of the Senate Banking Committee, the Democrat from Maryland was having a hard time pushing through a stiff corporate reform bill when the telecommunications...
It’s official: 2001 stunk, with average total earnings plummeting by 17.7 percent in 2001 compared to 2000. But, on the bright side, more reps are switching to the much-extolled fee-based business model...
Need help with compliance? The NASD wants to help you help yourself. The regulator launched a Web page called Improving Examination Results (nasdr.com/5200_improving_results.asp) designed to keep you and your firm up...
It’s official: 2001 stunk, with average total earnings plummeting by 17.7 percent in 2001 compared to 2000. But, on the bright side, more reps are switching to the much-extolled fee-based business model.
Brokers, listen up. Investors will give you more trades if you give them better online investing tools, according to a new report from Internet research firm Gomez. Online information stimulates interaction between...
Michael Colombo is in the collections business. Mostly, though, he uses gentle persuasion to recover funds from wayward brokers and delinquent clients for Wall Street firms.
To sports enthusiasts, Enron bolsters the theory of a naming rights jinx.: 0nce a company commits its name to a ballpark, dome or arena, it could be just a matter of time before it winds up on its posterior. But don't...