I have always been an advocate of conducting frequent meetings with my team. And I have always believed that every process can benefit from constant improvement. So it seemed to me that my meeting format was due for an overhaul. I was extremely...

Like many brokers, you may have a special customer. He is probably one of your more active and profitable clients. His name is on your speed dial, and he gets the first call when there is important news, good or bad. You were at his daughter's...

A.G. Edwards is building an expansive, 200,000-square-foot training center for brokers at its corporate headquarters in St. Louis. And the firm plans to put that space to use by beefing up its broker accreditation programs and internal...

As a broker, what will you do when working with an estate planning attorney? Perhaps your most important interaction is in sharing information. Furnish full and detailed data about your client's assets (but only with your client's written...

Being emotionally intelligent is a vital characteristic for brokers, according to psychologist Hendrie Weisinger, author of Emotional Intelligence at Work. Sensing the emotions of clients and co-workers, recognizing your own emotional cues and...

In May, the NASD's Dispute Resolution (arbitration) unit filed an amendment to a proposed permanent rule on injunctive relief. The filing makes several changes to the proposed rule, but a controversial section preventing arbitrators from...

In his book, Sell From the Heart, Harry Pappas Jr. says the best way to grow your business is by focusing on relationships with clients. He who services better gets the gross, he writes. Positive, frequent interaction with clients is critical, so...

Billy Brewer needed someone. Desperately. His father has Alzheimer's disease and can't communicate. So his mom sought to connect Billy with a Big Brother. But within a span of a few weeks, three Big Brothers strolled into Billy's life and walked...

A former Smith Barney broker who won $1.3 million from the firm after he was terminated following a diagnosis of chronic fatigue syndrome, has won a second arbitration involving management of the money. He alleged a Gruntal & Co. broker mishandled...

Prudential Securities began rolling out its new call center program June 8. But reps aren't entirely happy about the way it's being done. Any account with less than $25,000 in assets will be automatically shipped out to the Scottsdale, Ariz.-based...