New Hampshire securities regulators are suing Morgan Stanley, charging that in 2002 the firm encouraged its brokers to sell proprietary mutual funds by using sales contests, a violation of NASD rules.
A tactic traditionally known as the 90/10 strategy enables retail and institutional investors to achieve two goals simultaneously: capital preservation and potential appreciation from a bullish market move. This method involves the purchase of...
The covered combination is a three-part strategy that sets targets to sell/reduce your current stock position or accumulate additional shares. The first part of the strategy is to pick the stock and purchase only half of the desired number of...
24th Annual Outstanding Broker Awards Recognize Ten Financial Advisors for Professional Excellence, Client Trust and Community Service New York—May 13, 2004—Registered Rep. magazine announced today its selections for the 24th Annual...
Daniel Yasharel learned his most important lesson about the financial advisory business even before he became a full-fledged member of it. It was 1992, and Yasharel was working as an insurance agent. He'd sold a policy to a client who called him...
David Harris, who reportedly has more than $300 million in assets under management, moved to UBS Securities from Smith Barney on April 30, according to the NASD database. Harris, based in Houston, who has written for Registered Rep., was with...
