If analysts, asset managers and Merrill Lynch reps are to be believed, the fourth-quarter earnings reported today will indeed have been the worst of it for the nation’s largest brokerage. They better hope so. Merrill Lynch said its private...
The number of cases filed with the NASD Dispute Resolution Arbitration Forum jumped 24% in 2001, an increase of almost 1,400 cases, according to the NASD’s year-end statistics, which was announced today. The 1,400 cases is a NASD record. The...
NASD Regulation today announced a disciplinary settlement in which it fined Tower Square Securities, a subsidiary of Citigroup with 700 brokers, $200,000 and ordered the firm to make $4.3 million in restitution to a Louisiana Public School System...
The NASD received 363 comments on its proposed detailed set of rules governing how brokers can correct inaccurate customer dispute information on their CRD records, the NASD told Registered Rep. Magazine. The comment period ended Tuesday after...
The World of Registered Representatives Insights and Opportunities for Brokerage and Investment Management Firms Table of Contents About This Book Executive Summary Chapter 1:Segmenting the World of Registered Representatives Chapter 2:Critical...
Can you say annuitization? Prudential Securities brokers had better get comfy with that wirehouse jargon for fee-based advisory business or get used to making less money. Pru announced that it has introduced a new payout plan that reduces its...
Today the big story on Wall Street was Merrill’s massive $2.2 billion charge against fourth-quarter earnings for layoffs. What the headlines didn’t say was that the firm was actually adding brokers to its U.S. retail unit, a...
PRIMEDIA PRIMEDIA’S REGISTERED REP EDITOR TELLS STOCKBROKERS THESE ARE “THE BEST OF TIMES?” Led by Editorial Veteran, David Geracioti, January 2002 Issue Declares That the Broker Is Back and Has Won the Battle on Wall Street New...
New Page 1 PRIMEDIA’S REGISTERED REP EDITOR TELLS STOCKBROKERS THESE ARE “THE BEST OF TIMES?” Led by Editorial Veteran, David Geracioti, January 2002 Issue Declares That the Broker Is Back and Has Won the Battle on Wall Street &...
PRIMEDIA PRIMEDIA’S REGISTERED REP EDITOR TELLS STOCKBROKERS THESE ARE “THE BEST OF TIMES?” Led by Editorial Veteran, David Geracioti, January 2002 Issue Declares That the Broker Is Back and Has Won the Battle on Wall Street New...
