Reps have all kinds of ways to stay active and relax when they're off the clock. Some play golf. Some coach Little League. Some travel. Marc Frederic, a 65-year-old advisor in Smith Barney's Torrance, Calif., office, does something completely...

For all the problems it's been having in the last several months, Morgan Stanley can hang its hat on this good news: It is now the largest securities firm in the country. According to yearly reports, Morgan surpassed previous first-place holder...

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...

Financial advisor Eric Park loves learning, and his clients love him for it.

Anyone wondering whether the regulators had lost interest in mutual fund marketing need wonder no more. With the SEC and NASD recently levying more than $80 million in fines to five firms (for transgressions related to revenue sharing and B shares...

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...

After acquiring its way into the brokerage elite, Wachovia Securities is now trying to grow larger the old-fashioned way: organically. Heading up the firm's new Individual Investor Group (a unit devoted entirely to the recruitment and retention of...

When registered reps set about advising clients on where to put their money, they usually focus on risk tolerance. A conservative-minded client, for instance, might get a portfolio heavily laden with fixed-income products; a more aggressive client...

When it comes to advice, New Yorkers are givers, not receivers. According to a recent survey by Charles Schwab & Co., Big Apple denizens are secure in their abilities to find a cab on a rainy day (56 percent) and to give directions to ethnic food...