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A study of the ratings systems at 30 brokerage firms showed significant improvement in their identification of companies heading into bankruptcy. On the down side, though, a surprising number continue to recommend companies right up to the day...
New Page 1 January Issue Details Seven Cities Poised to Thrive New York - January 17, 2003 PRIMEDIA’s Shopping Center World magazine, the source of information for retail real estate executives, identified the retail markets poised to...
PRIMEDIA’S REGISTRED REP. HONORED WITH 2002 PUBLISHING AWARD New Page 1 Firms Continue to Push Comprehensive Financial Planning, a Team Approach to Client Service and Increased Training; Industry to Face Significant Consolidation in the Year...
Prudential Securities informed all of its administrative managers that if they were also producing brokers, they were no longer going to be paid commissions.
Prudential Securities and Wachovia Securities are very close to an agreement to join forces, one that was scuttled earlier in the year, reportedly due to differences in who would control the unit.
Wachovia Securities has altered its monthly production bonus payout for 2003, moving up the monthly production level needed in order for brokers to avoid being penalized for monthly payouts.
The SIA has expressed serious concerns over proposed changes by the NYSE and SEC that would alter the qualifications by which a broker/dealer office is considered a branch office.
The NASD, acting on a tip acquired during an investigation, has sent several brokerage firms word that it has discovered brokers are not providing earned discounts to mutual fund investors, therefore overcharging them.
