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Registered Rep.
January 22, 2003
Will Leitch |
Busting a CAP Opponents of Salomon Smith Barney's Capital Accumulation Plan to get a day in court   |
Registered Rep.
July 9, 2003
David A. Gaffen |
Score One For Smith Barney In Cap Plan Hearings A superior court judge in California has ruled for Smith Barney in a case related to a deferred compensation plan that has been the subject of several lawsuits from brokers who formerly worked for the firm. The court said the CAP is not unlawful and does not violate labor laws. |
Registered Rep.
March 1, 2003
Will Leitch |
CAP and Frown A long-running dispute over a Salomon Smith Barney Capital Accumulation Plan (CAP) is going to trial. |
Registered Rep.
October 1, 2002
William A. Jacobson |
Deferred Compensation. Whose Money Is It? Deferred compensation plans offer incentives or income tax deferral while motivating the employee to remain at the company. However, the Citigroup Capital Accumulation Plan is facing legal challenges from class action suits in several states. |
Registered Rep.
September 1, 2004
John Churchill |
Handcuffs Made of Gold Deferred-Comp Plans Can be an Advisor's Lucrative Friend... Should I Stay or Should I go?... |
Registered Rep.
June 21, 2007
Christina Mucciolo |
Smith Barney Golden Handcuffs Hard to Crack A New Jersey Appellate Court's reversal of a lower court's decision is another notch in Smith Barney's belt. |
Registered Rep.
March 1, 2006
John Churchill |
To the Bitter End How a veteran Smith Barney broker is fighting to keep deferred compensation after leaving the firm to become an independent RIA. |
Registered Rep.
October 4, 2006
John Churchill |
Citigroup Wins Long, Strange CAP Battle After going two for three in a unique tug of war involving both the arbitration and court systems, former Smith Barney broker James McCarthy is likely throwing in the towel in his three-year fight for the money left in his deferred-compensation plan. |
Investment Advisor
July 2006
Kathleen M. McBride |
B/d Briefing: Two Faces of Wall Street Few financial professionals expect to work a 40-hour week on Wall Street. So it was surprising to see the extent of rep participation in class-action lawsuits over broker overtime, and the astounding settlements that have been awarded. |
Registered Rep.
May 22, 2006
Halah Touryalai |
Brokers Ring Up Another Big Overtime-Pay Settlement Citigroup has agreed to pay a up to $98 million, a record-breaking figure, to past and present advisors to settle their overtime-pay claims. |
Registered Rep.
September 24, 2002
David A. Gaffen |
Former Brokers Sue SSB, Grubman, Even Sandy Weill Want $100 Million Each for Wrongful Termination, Defamation Spartis and Elias claim that they were wrongfully fired from their positions in February of this year after the firm, in their eyes, did not adequately represent them in complaints filed by customers related to WorldCom. |
Registered Rep.
July 1, 2006
Halah Touryalai |
Ready to Punch the Clock? Most registered reps compare themselves to professionals, such as doctors and lawyers. However, it seems that according to an interpretation of federal law, financial advisors may be held to the same labor law standards as an hourly employee. |
Registered Rep.
May 1, 2005
John Churchill |
Class-Action Threat Smith Barney is facing a new round of sex-discrimination suits. |
InternetNews
July 20, 2006
Ed Sutherland |
Judge Nixes AT&T, Feds on Secrecy Request A federal judge in San Francisco denied a motion by AT&T and the U.S. government to keep details of a domestic spying program secret. |
Registered Rep.
December 4, 2002
Rick Weinberg |
Weill Postpones Elimination of Salomon Name Sandy Weill, the chairman of Salomon Smith Barney's parent Citigroup, has informed brokers and other employees that plans to eliminate the Salomon name, a Wall Street hallmark for nearly a century, have been postponed, according to sources. |
Registered Rep.
September 9, 2002
Rick Weinberg |
Acknowledging Some "Inappropriate Behavior," Sandy Weill Defends Solly Sandy Weill, chairman of Salomon Smith Barney's parent Citigroup, acknowledged that his firm may have engaged in some inappropriate behavior during the bull market and said that Citigroup would have to make "amends" to regain respect. |
Registered Rep.
June 1, 2006
Halah Touryalai |
Overtime Settlements Stacking Up Citigroup agreed in mid-May to pay a record $98 million to past and present advisors to settle their overtime-pay claims. It's the fourth major financial firm to settle a class-action suit regarding overtime pay within the past 10 months. |
The Motley Fool
February 4, 2005
Roy Lewis |
Understanding Your W-2 Form The author offers explanations to make your tax-filing experience a little easier. |
Registered Rep.
May 29, 2007
Kevin Burke |
Smith Barney's Krawcheck to Smooth Out Comp. Plan The brokerage giant's top executive is set to tweak the firm's compensation plan in an attempt to address financial advisors' repeated complaints over pay complexities and claims of unfairness. |
Registered Rep.
March 1, 2006
John Churchill |
Everybody Wants Their Overtime UBS said it has agreed to pay $89 million to settle class-action wage and hours claims of reps filed this past summer in several federal courts. |
The Motley Fool
November 28, 2011
John Reeves |
Judge Blocks Citigroup's Sweetheart Deal Judge Rakoff blocks a deal between Citi and the SEC. |
HBS Working Knowledge
November 12, 2012
Kim Girard |
Pay Workers More So They Steal Less Bigger paychecks for retail employees could generate significant payoffs for employers by reducing worker theft and raising the level of moral behavior in the workforce, a new study shows. |
Registered Rep.
March 1, 2007
John Churchill |
Sallie's Back At first glance, this second coming of Sallie Krawcheck probably looks like a cakewalk compared to her first adventure in 2002. But, make no mistake: Smith Barney is not the awesome brokerage it appears to be on paper. |
CFO
August 1, 2012
Vincent Ryan |
High Court Upholds Health-Care Reform The Supreme Court's ruling leaves companies with decisions to make. |
Registered Rep.
November 1, 2006
Angela Covo |
Skirts Vs. Smith Barney Less than 10 years after they settled the infamous "boom-boom room" case, Smith Barney is being sued for gender discrimination again. |
Registered Rep.
January 1, 2007
Kristen French |
More or Less? Smith Barney overhauled its pay package -- just in time for the new year. Some of the changes it made were pretty radical -- especially for an industry in which any pay change, no matter how minor, is often a source of uproar. |
The Motley Fool
June 14, 2011
Morgan Housel |
Why It's Worse Than the Great Depression and You Haven't Been Given a Raise Real wage growth over the past decade hasn't just been below average. It was actually slower than during the Great Depression decade of 1929-1939. |
Registered Rep.
May 7, 2007
Christina Mucciolo |
Smith Barney Closes a Few Offices, Prepares to Consolidate Others The firm prepares to consolidate as part of a larger cost-cutting program in the works at parent Citigroup. |
Registered Rep.
March 1, 2006
John Churchill |
Unclean Hands H&R Block Financial Advisors recently lost an appeal to stop three departing brokers from soliciting or contacting their clients. For reps around the country, the ruling means that moving your book could get a lot easier. |
Registered Rep.
February 23, 2007
Kevin Burke |
Disgruntled Smith Barney Brokers Are Voting with Their Feet Sixty-nine brokers left Smith Barney, just ahead of a three-day weekend. Fridays before a long weekend are historically prime times for unhappy brokers to make a clean break, but the large number of brokers taking off on a single day is alarming. |
Registered Rep.
December 1, 2004
David A. Gaffen |
Sallie Krawcheck Has Left the Building In a move that presages future Citigroup plans, Smith Barney CEO Sallie Krawcheck and Citigroup's CFO Todd Thomson have switched offices. |
Entrepreneur
May 2006
Jennifer Pellet |
New Set of Rules The IRS is helping and hindering small businesses with two new initiatives. |
InternetNews
March 4, 2005
Jim Wagner |
Bloggers Can't Shield Sources Apple and three blog sites await word to see whether the judge will change his mind over a preliminary ruling that's inconsistent with current rules for traditional media. |
Registered Rep.
April 18, 2007
Halah Touryalai |
Chuck Prince: Smith Barney Goin' Nowhere Citigroup's CEO has been at the center of company news recently with his plans to cut costs including last week's announcement of about 17,000 job cuts. That cut may affect over 100 Smith Barney employees and about 30 advisors. |
BusinessWeek
June 22, 2011
Greg Stohr |
Wal-Mart Case: Another Loss for Trial Lawyers The Supreme Court's ruling is the latest in a series of decisions that make it clear the justices aim to curb mass litigation. |
Registered Rep.
March 7, 2003
Ross Tucker |
Gomez Ranks SSB Web Site Tops for Advisors Salomon Smith Barney retained the top spot in a ranking of brokerage Web sites from Gomez Inc. |
InternetNews
December 22, 2004
Susan Kuchinskas |
EU and U.S. Diverge on Antitrust Law Global companies may have to apply local rules to their business practices in light of European court ruling that upheld antitrust penalties against Microsoft, attorneys said. |
The Motley Fool
May 21, 2009
Dan Caplinger |
The Money Trap You're Better Off Without Don't put your retirement savings in the wrong place. |
PC World
June 28, 2001
Frank Thorsberg |
Both Sides Claim Antitrust Win; Now What? Pundits, participants assess the continuing question of punishment for Microsoft, which escapes breakup for now... |
Registered Rep.
December 1, 2005
Halah Touryalai |
Smith Barney: New Focus On the Horizon While most Smith Barney advisor respondents were generally unimpressed by the acquisition of Legg advisors, it'll be interesting to see if Smith Barney's jettisoning of its asset management group -- and resulting new focus on retail distribution -- will rejuvenate the firm. |
U.S. Banker
November 2005 |
Executive Compensation & The Boardroom Dilemma Investors shouldn't have to sift through every number on a proxy statement to determine total executive compensation. Now the SEC wants all payouts and perks -- including costs for corporate jets and housing -- out in plainer view. |
The Motley Fool
February 26, 2007
Rich Duprey |
Abundant Options in Alternative Compensation While nearly every investor has heard of stock options, few are likely aware of their close cousins, restricted shares and stock appreciation rights. Even if investors have heard of them, fewer still probably understand how they work. |
InternetNews
April 6, 2010 |
Court Voids FCC's Comcast Net Neutrality Order Federal appeals court strikes down FCC's order rebuking Comcast for blocking traffic on its network, issuing a landmark ruling that casts a long shadow over the commission's role in broadband policy. |
