Nancy Zanolini, 57, a semi-retired art gallery manager in suburban Sacramento, Calif., had been eagerly awaiting July 2002 for months. That's when arbitrators were to have been appointed to resolve her claim of $200,000-plus in losses due to...
Taped recordings of conversations in one of Salomon Smith Barney's Atlanta offices have become important evidence in various suits by WorldCom employees against the brokerage firm, as well as by two former brokers who sued Smith Barney. Now, one...
The bear market means it's a perfect time to call clients someone else's. There are a lot of reps hiding under their desks, says one Salomon Smith Barney producer. Their clients are up for grabs. While smaller producers are struggling to stay in...
In a market pummeled by accounting scandals, tainted research and economic malaise where even mutual funds are fizzling it makes sense to look for something your customers can feel good about. College savings plans, the so-called Section 529...
Clearly there's a lot of cocaine on Wall Street, said a Drug Enforcement Administration official in announcing the arrest of more than a dozen people, most of them brokers, at penny-stock brokerage firm Brooks, Weinger, Robbins & Leeds for...
No doubt you see lists of the best of this or that on the covers of nearly every magazine. What distinguishes our cover package, The Best: America's Top Brokers, is the breadth of the survey and the rigor used to figure out the rankings. R.J...
Last year, between ranching and working as a full-time advisor with D.A. Davidson in Great Falls, Mont., Skip Halmes wrote a collection of stories titled The Cow Whisperer. In it, he details his travails with ranch animals, his children and a...
Confused about how to sell 529 college savings plans (see article on page 96)? Since each of the 50 states has its own plan, they can be overwhelming. Now, there's a little more help. For $50 a year, you can peruse 401kid.com to compare plans and...
On Aug. 14, as part of the government's new get-tough policy on deceptive corporate accounting, the CEOs and CFOs of 974 of the country's largest public companies had to personally swear that their financial documents were accurate. But if you...
This fall, some registered reps will go back to school elementary school. Through a 3-year-old SunAmerica program called K.I.D.S., reps will visit classrooms to educate teachers and children about financial basics: setting up budgets, saving money...
