Former Salomon Smith Barney brokers Phil Spartis and Amy Elias have led an NYSE arbitration claim against their former rm and a number of the firm's ofcers and attorneys. They had already countersued Smith Barney after being named in a number of...
You can't keep investors from getting hammered in a bear market. But you can at least offer them some guidance about the long-term implications of different portfolio choices and economic scenarios by using predictive analytical tools, long a...
These days, Anthony Soslow often finds himself facing a problem most reps haven't faced since clients were clamoring for hot IPOs back in the heady years of the last millennium. When Soslow, president of Global Capital Management, a financial...
The Firm: The Lowry Group,Gainesville, Fla. Principal: Joe Lowry B/D Affiliation: Investacorp Year of Independence: 1994 Assets Under Management: $60 million I've been in the financial services business 28 years. I started in the life insurance...
The Firm: Hudock Moyer Financial Advisors,Williamsport, Pa. Principal: Barbara Hudock and Jason Moyer B/D Affiliation: Wachovia Year of Independence: 2001 Assets Under Management: $220 million After 26 years at Merrill Lynch, Barbara Hudock didn't...
The Firm: Smedley Financial Services Inc.,Salt Lake City Principal: Roger Smedley B/D Affiliation: Securities America Year of Independence: 1983 Assets Under Management: $128 million What's unusual about me is how I got to be a financial planner...
The Firm: Foundation Asset Management,Blue Bell, Pa. Principal: Jeffrey Heinel B/D Affiliation: The Investment Center Year of Independence: 1995 Assets Under Management: $100 million I went from food to finance in my career. After I graduated...
The Firm: Jeb Bashaw & Co., Houston Principal: Jeb Bashaw B/D Affiliation: Linsco/Private Ledger Year of Independence: 2001 Assets Under Management: $100 million Prior to going independent, I was with UBS PaineWebber from June 2000 until November...
New Page 1 Registered Rep. Recognized For Design Excellence New York - October 30, 2002 PRIMEDIA’s Registered Rep. magazine, the source for investment professionals, was honored at the Folio: Show with an Ozzie Award for Best Redesign in the...
