Until the 1990s you knew what to wear to work. Brokers looked different from pinstriped, wing-tipped bankers, but definitely not like the too-slick caricatures in the 1980s film "Wall Street."Women brokers endured severe, dark "dress for success"...
Carolyn Polston, Edward Jones, Wilmington, N.C. Several years ago when Carolyn Polston became a client at Edward Jones, she was impressed by the professionalism, enthusiasm and job satisfaction of the staff.She was so impressed, in fact, that she...
A three-person NYSE arbitration panel in January awarded Principal Financial Securities and Everen Securities 4.45 million dollars in a case against Raymond James for raiding and breach of confidentiality agreements.According to the award summary...
Merrill Lynch has set up a separate marketing unit to sell its Mercury mutual funds through outside channels. A.G. Edwards brokers are among the first to sell the product.Mercury Asset Management now has six funds in the United States, the first...
Merrill Lynch brokers are buzzing about the firm's expansion into banking, most notably Merrill's sweep of cash into an FDIC-insured deposit account instead of a money market."This is huge," says one Merrill producer on the East Coast. "All the...
Tim Owen, D.A. Davidson & Co., Bozeman, Mont. Montana suits Tim Owen to a "T." A lover of all things outdoor, this former ski coach and fishing guide is now a producing manager at D.A. Davidson's Bozeman, Mont., branch, where he started his career...
The team members: Arthur Sherman: A broker since 1969 and a pioneer in financial planning, Arthur founded the partnership in 1981. He spends winters working from his home in Boynton Beach, Fla., communicating with the office and clients via five...
In April, the SEC issued for comment a hotly contested proposed permanent rule governing how injunctions against brokers can be obtained.Firms sometimes seek emergency relief to prevent departing brokers from soliciting and transferring customers...
Mark Sutton, president of PaineWebber's retail unit, will deliver the keynote address at the SIA Financial Advisor Conference June 8-10 at the Drake Hotel in Chicago.The theme of the inaugural conference is "Controlling Your Destiny." Breakout...
The SIA board of directors in March endorsed the idea of one SRO. It recommends the creation of a new regulator to supervise sales practices and operational requirements, while each stock market oversees its own trading and listing activities.In...
