Almost everyone likes to be pampered, particularly in this age of impersonal communications. When was the last time a service provider remembered your birthday by throwing you a party, sending you a cake or a book by your favorite author? Brokers...

In the wake of the terrorist attacks of Sept. 11, brokers found clients not so much worried about their money as they were concerned about their brokers and the nation. Nobody's focused on the market yet, says a Merrill Lynch rep who was reached...

Every broker knows that the largest wealth transfer in history will take place as the baby boomers inherit money from their parents. But not everyone knows how to best capitalize on intergenerational planning opportunities. Begin by asking about...

The RR roundtable participants are: Richard G. Cohen, CIMA, is a first vice president investments and senior investment management consultant at Salomon Smith Barney's Westwood office in Los Angeles, where he also serves as producing assistant...

This year's Outstanding Sales Assistant Award Winners: Marti Nelson Dain Rauscher Eau Claire, Wis. Kim Richardson Morgan Stanley Glenwood Springs, Colo. Vicki Stone First Union Securities Louisville, Ky. Monica Van Zale A.G. Edwards Boulder, Colo...

You have only seven seconds. That's how long it takes to make a first impression, say experts in business etiquette. If it's a bad impression, you have your work cut out for you. It takes seven seconds or less to give someone a bad impression and...

Courts have certified three class-action lawsuits challenging Citigroup's Capital Accumulation Plan (CAP). In August, Los Angeles Superior Court Judge Aurelio Munoz granted class-action status to a lawsuit filed against Citigroup by a former...

PaineWebber's action against three brokers who left its La Jolla, Calif., office last spring for Sutro & Co.-Ed Dawson, Trace Davis and Joseph O'Leary--was settled in late July.Therefore, the case never went before arbitrators who would have ruled...

Account aggregation has been billed as an important new tool for brokers. Morgan Stanley became the first major retail firm to launch an account aggregation service last fall. Merrill Lynch and Salomon Smith Barney followed in February. All of the...

Marti Nelson, Dain Rauscher, Eau Claire, Wis. She's extremely hard-working. I'll send an e-mail at 7 o'clock at night and get one right back. client Laurence Niederhofer, Scottsdale, Ariz. She challenges me to make sure we are introducing the...