Could brokers be criminally liable for taking client records? Although industry lawyers know of no cases presently, they say it's a possibility under the Gramm-Leach-Bliley Act (GLB). To address privacy concerns, the law makes it a federal...
Despite the work full-service firms have put into Web-based client services, there's one function that's still missing -- the ability to chat in real time via text-based message screens. The term for this, coined by America Online, is instant...
November 2001 Complete Broker Comments A.G. Edwards Edward Jones First Union Merrill Lynch Morgan Stanley PaineWebber Prudential Securities Smith Barney September 2001 Million-Dollar Producers Million-Dollar Producers June 2001 Software Guide...
RR Online synopsis of industry-related Web sites Web sites of interest to brokers, including regulatory organizations, broker/adviser groups, industry trade groups and industry organizations. There are also direct links to firms' press releases...
Mirroring an industry wide trend, UBS PaineWebber is encouraging its brokerage force to go fee-based by increasing the payout on fee-based business by an average of two to four percent net, according to brokers from the firm. At the same time, UBS...
