David Harris, Salomon Smith Barney, Houston David Harris got his business off to a fast start, which is remarkable considering the two strikes against him-the time and the place. His first full year as a broker was 1987, the year of the crash. And...

The war between the SEC and its employees who want a union has become downright nasty.The SEC has appealed a Federal Labor Relations Authority (FLRA) ruling that supported agency employees' efforts to unionize nationwide. SEC employees are...

Bruce Johnson, CapTrust Financial Advisors, Holland, Mich. Bruce Johnson couldn't find a job in the brokerage industry. Firms weren't hiring in the bear market of early 1982-especially for college kids like Johnson, who had just ditched plans for...

Doug Stewart, First Union Securities, Fredericksburg, Va. Doug Stewart takes a professorial approach to his business, educating clients so they know and understand their investment choices. "It gives them tools they can use and makes them more...

The very nature of a stockbroker's job puts him or her in daily contact with bulls and bears. A recent study shows it may be time to add cats and dogs to the mix.According to a study conducted by Karen Allen, M.D., of the School of Medicine at the...

Once upon a time, full-service brokers were worried about losing the next generation of investors. But now, traditional firms are convinced they can attract the new wave of emerging investors--even when those investors may not want a broker.These...

With 12,000 mutual funds on the market today--a figure that exceeds the number of stocks on the New York Stock Exchange--brokers have a lot to pick from."Competition is absolutely fierce," says John Rhoades, senior vice president and director of...

The Edward Jones model of one broker per office will continue to spread across the states and around the world. The company intends to double the number of U.S. offices in the next four years, bringing the total to 10,000 by 2003, according to a...

When the Three Mile Island disaster struck five years after the Nuclear Regulatory Commission was established, the NRC's inspector general ordered a full investigation and later issued a scathing report on the commission's disorganization.Likewise...