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Registered Rep.
October 23, 2003
John Churchill |
Edward Jones hit with $2.7 million fine One of the firm's brokers overloaded a client's account with unsuitable investments on margin.   |
Registered Rep.
December 21, 2004
Will Leitch |
Ed Jones Agrees to Pay $75 Million in Revenue-Sharing Case Edward Jones has agreed to a $75 million settlement with the SEC, the NASD and the New York Stock Exchange as punishment for failing to disclose to clients information about the firm's revenue-sharing arrangements with mutual funds. |
Registered Rep.
January 9, 2006
Kristen French |
Ed Jones, AG Edwards, Baird: Great to Work For The three regional brokerage firms made Fortune magazine's top 100 companies to work for this year. Brokers at AG Edwards and Edward Jones gave their firms the highest marks for everything from sales support to management to ethics. |
Registered Rep.
January 1, 2003
Nicholas Ferber |
Switching Has Changed During trying times like these, many reps are looking to switch jobs. When pondering a move, no question occupies more time or discussion between brokers, hiring managers and (sometimes) recruiters than the following: "What's in it for me?" |
Registered Rep.
December 1, 2004
Mindy Diamond |
Packing the Parachute Success in the brokerage industry can be as much about mindset as anything else, so it comes as little surprise that advisors avoid negative thoughts, such as the potential necessity of a quick exit from their practice. |
The Motley Fool
March 5, 2004 |
Cheap Trades Here! A big part of how brokers compete is through price-per-trade. And while cost is a factor -- particularly for more frequent traders -- it should not be your only guidepost. Investment selection and services should be tops on your broker search list. |
Registered Rep.
January 1, 2005
Mindy Diamond |
A Clean Escape, With an Accomplice Brokers tempted to leap at a lucrative job at another firm are often held back by inertia, but in increasing numbers they are finding the powerful force they need to get moving: hungry branch managers. |
Registered Rep.
June 1, 2004
Will Leitch |
Accused A recent mutual fund scandal at Edward Jones causes a temporary hiccup in the firm's reputation. |
Registered Rep.
October 1, 2004
Nick Ferber |
Sunny Days In the interest of arming financial advisors with all they need to assess broker acquisition packages, here is a guide to deciding when it is mathematically justified to make a change. |
Registered Rep.
May 1, 2005
Mindy Diamond |
What About Your Retirement? Brokers often take a shortsighted view of their careers, and this usually turns an effort to convince them to think about their own retirements into an uphill battle. |
Registered Rep.
November 1, 2002
Jonathan Arfa |
Breaking Up Is Hard to Do Brokers partner up for a variety of reasons. Some kind of contract is needed when a partnership between members of a team of brokers is formed, whether it be between a senior broker and junior colleagues or just between two seasoned brokers. Brokers should consider this contract seriously. |
Registered Rep.
November 21, 2002
Rick Weinberg |
Morgan Stanley Firing 950 Brokers Morgan Stanley is firing 950 brokers, according to the various sources. |
The Motley Fool
August 5, 2005 |
A Buyer Broker Can Help You Not all real estate brokers have your best interest at heart -- be choosy. |
Registered Rep.
December 11, 2002
Rick Weinberg |
PaineWebber Cuts Bonuses, Expense Accounts Brokers at UBS PaineWebber received a double hit of bad news this week in this tough time for brokerages. Not only were they informed that the bonuses they receive for bringing in new assets were being cut, but expense accounts are being trimmed as well. |
Registered Rep.
February 1, 2005 |
By the Numbers Top 10 Broker/Dealers, by Advisor Headcount: Merrill Lynch... Wachovia... Smith Barney... Morgan Stanley... etc. |
Registered Rep.
January 1, 2005
Will Leitch |
529 Plans in the Crosshairs To virtually no one's surprise, regulators have begun scrutinizing how 529 plans are peddled. |
Registered Rep.
September 1, 2005
Mindy Diamond |
Look Homeward When financial advisors decide to embark on a job search, they often overlook one very important firm to evaluate: their current one. |
Registered Rep.
October 1, 2002 |
Warm Bodies Brokerages ranked by number of reps. |
Registered Rep.
November 1, 2002
Michelle Leder |
Training Brokers Not to Flunk Out By focusing their training budgets more effectively, firms hope to trim an attrition rate among new hires that, even in good times, exceeds that of other industries. |
The Motley Fool
August 12, 2004 |
Understanding Mortgage Brokers For many people, the best way to get a mortgage is through a broker. |
The Motley Fool
February 19, 2004
Dayana Yochim |
Come Trade With Me Brokers want your business and a few are casting out some interesting bait, but is it worth it? |
Registered Rep.
January 1, 2003
Jonathan P. Arfa |
Do-It-Yourself Arbitration When a rep is laid off or changes firms, there's often a disagreement about how much she is due for her final months of work. |
Registered Rep.
April 6, 2004
Will Leitch |
SEC Investigates Edward Jones' Fund Sales Edward Jones--a firm that hasn't attracted much regulatory scrutiny over the years--has been under considerable fire of late, thanks mainly to previously undisclosed revenue-sharing arrangements. |
Registered Rep.
November 1, 2002
David A. Geracioti |
Looking for Work -- On the QT Are you a broker looking for a job, but afraid you'll be found out? A new Web site, privateclientpro.net, provides a fast, anonymous and comprehensive listing of opportunities. |
Registered Rep.
April 1, 2003
David A. Gaffen |
Your Book or Your Life! What would you do if you lost your book? Where would you turn for new customers? Where could you be hired? Those are questions that keep many advisors up at night. |
The Motley Fool
March 17, 2006
Selena Maranjian |
Beware of Revenue Sharing Have you ever heard of a practice called "revenue sharing" by mutual fund companies and brokers? It isn't as magnanimous as it sounds. You could lose $213,000. |
Wall Street & Technology
March 2, 2004
Jessica Pallay |
Creditex Sets Standard in FpML Creditex clients can now get their credit-default-swap broker confirms in Financial products Markup Language. |
Registered Rep.
February 1, 2005
Will Leitch |
Smiling Through the Pain If Edward Jones reps are dismayed by the firm's record-setting SEC fine and the subsequent dismissal of their managing partner, Doug Hill, they're doing a good job of covering up. |
The Motley Fool
May 3, 2004
Dayana Yochim |
Cash, Credit, Crudites? Brokers are offering a feast of freebies. Here's what's catching our eye. |
Registered Rep.
August 10, 2005
Kristen French |
Sources: Morgan Cuts Slated for Thursday Morgan Stanley's human resources department created a performance-based formula for selecting the 1000 people to let go. |
Registered Rep.
December 1, 2005 |
Registered Rep.'s Broker Report Cards How seven of the nation's largest brokerage firms stack up against each other. |
Registered Rep.
October 1, 2002
Ross Tucker |
Payback Time During the heady days of the bull market brokers found themselves lured to other firms by big upfront bonuses, in the form of forgivable loans. Unable to maintain prior production rates under worsening market conditions, many have lost their jobs and their clients. Now their firms want to collect on those loans. |
OCC Bulletin
September 5, 2002 |
Investment Portfolio Credit Risks: Safekeeping Arrangements This guidance alerts banks to the potentially significant credit risks they incur when safekeeping investment portfolio assets with third parties, such as brokers, broker/dealer firms and banks. |
Registered Rep.
December 1, 2002
David A. Gaffen |
Manning the Phones When wirehouses and other major brokerages introduced the notion of call centers a couple of years ago, brokers were suspicious. Although they understood the logic behind the move, it was a difficult adjustment. But call centers are here to stay and brokers are learning to live with them. |
The Motley Fool
December 22, 2004
Selena Maranjian |
Should You Switch Brokers? The brokerage you're using may not best serve your needs. |
CRM
March 2004
Emmy Favilla |
IN BETA: GuideMark Guides National City Bank to Success GuideMark's new broker relationship system integrates mortgage sales and marketing processes with a CRM platform. |
Registered Rep.
October 1, 2002
Jonathan P. Arfa |
First, Hire the Lawyers With heavy investor losses, customer claims filed with the NYSE and the NASD are expected to hit an all-time high in 2002. What should a broker do if they are the target of a complaint? |
The Motley Fool
March 26, 2004
Rick Aristotle Munarriz |
Coup d'E*Trade Online broker goes for speedy executions and finds itself on the fast track. |
T.H.E. Journal
August 2003 |
Jones Knowledge Releases Updated Open-License Course Management Software Jones Knowledge Inc. has released the new 2003 version of its free open-license online course management and delivery software, Jones e-education: Software Standard. |
The Motley Fool
November 14, 2005
Selena Maranjian |
Real Estate Brokers vs. Realtors If you're buying or selling a home, know whom you're working with. |
Registered Rep.
June 1, 2005
Mindy Diamond |
Don't Be Afraid to Go for It Openness to switching firms is essential if a broker wants to take advantage of an industry that can, and will, provide brokers with opportunities to capitalize on a lifetime of hard work. |
Registered Rep.
March 17, 2003
Will Leitch |
Unfair Disclosure For The Broker? In a little-publicized move, the NASD has formed a Public Information Review Initiative, which would radically expand investors' access to information about brokers. |
Registered Rep.
December 1, 2005
Kristen French |
Morgan Brokers Still Heading for Exits There has been a parade of top brokers who have left Morgan Stanley in recent months. The losses, which began under embattled former CEO Phil Purcell, have not abated since his replacement, John Mack, arrived in June. |
The Motley Fool
May 13, 2004
Dayana Yochim |
Find a Match for Your Money The right relationship is everything. How to get the right fit for your financial needs -- choosing a financial advisor and a broker. |
Registered Rep.
March 1, 2006
David Weiss |
Living with Reg SHO The new regulation opened up the possibility of completing a short sale without worrying if it complied with the uptick or bid test, and put into affect rules requiring greater effort on the part of brokers and other participants in the securities industry to ensure that short sales were covered. |
Registered Rep.
February 2, 2006
Kristen French |
Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest. |
Registered Rep.
August 17, 2005
Kristen French |
Gorman to the Rescue? Now that James Gorman has been selected as the future head of Morgan Stanley's retail brokerage, what will he do to turn it around, and can he pull it off? |
Entrepreneur
January 2004
Scott Bernard Nelson |
Under Fire Is it still possible to invest without getting burned? |
Registered Rep.
January 1, 2003
Amy Leavitt |
Don't Sell, Help In clients' minds, your fees are a leading indicator of the value they will realize from your services. Communicate clearly the value of your services to potential clients to make certain they understand the value they will realize for their fee. One tool to do this with is pricing. |
The Motley Fool
April 13, 2004
Selena Maranjian |
Full-Service vs. Discount Brokers There isn't a great distinction between them anymore. |
