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The Motley Fool November 14, 2006 Dan Caplinger	Banker, Broker, or Both? Be careful to figure out which hat your bank's employee is wearing. The key to dealing with bank-based brokers is to know exactly what you're being offered at all times.
BusinessWeek August 30, 2004 Amy Borrus	Brokers Aren't Advisers The line between brokers and advisers was clear for decades. But in 1999, the Securities & Exchange Commission blurred that line. Now, to protect investors, the SEC must redraw a clear line.
The Motley Fool January 17, 2007 Dan Caplinger	Insuring Your Investments Several entities combine to protect assets in various accounts. Although all of these organizations provide some protection for investors, it's still best to avoid having to go through the process of dealing with an insolvent financial institution in the first place.
The Motley Fool January 10, 2007 Dan Caplinger	You Can Start Small You don't need a big bankroll to start investing. A wide range of options are available for investors of modest means, so that you can take what you've already saved and get started.
The Motley Fool October 27, 2004	Fussing About Fund Fees Mutual fund fees may look small, but they can eat much of your earnings.
The Motley Fool February 12, 2008 Dan Caplinger	Where You'll Find the Best Rates As customers have moved to the Internet for financial solutions, banks have paid attention.
Registered Rep. November 3, 2003 Will Leitch	Fund Scandal Implicates Stockbrokers The mutual fund trading scandals headlines seemed to implicate mutual fund family executives and hedge funds -- everybody but individual retail brokers and brokerage management. But a new survey by the SEC charges brokers with abusive trading of mutual funds.
Registered Rep. December 1, 2005 Andrew Osterland	Brokering Advice The essential difference between brokers and registered advisors, say financial planners, is fiduciary duty. The notion that b/ds have a lighter burden of regulation than registered advisors, however, is something the securities industry vigorously disputes.
U.S. Banker November 2005	MMDA: Banks Seen Losing Out to Mutual Funds In today's rising rate environment, money market mutual funds can offer better rates than those of banks, because many banks have been slow to ratchet up their rates, even when the Fed raises the fed funds rate.
U.S. Banker August 2006 Lee Conrad	Banks Refocus Staff and Mutual Funds Sales Surge Banks are making a fundamental change in the way they sell mutual funds by streamlining the process and unleashing a bigger, less expensive, sales force.
Registered Rep. July 30, 2003 Will Leitch	SIA Says "Me Too" on Sales Fee Investigations Amid the brewing investigations into mutual fund sales practices, the Securities Industry Association came out last week in support of the new Joint NASD/Industry Task Force.
The Motley Fool October 28, 2005 Dayana Yochim	Great Commercial. Good Broker? Investors, ignore the clever ad campaigns of brokerage firms and focus on what's best for your wallet. Here's a brief guide to choosing a broker.
The Motley Fool July 30, 2009 Dan Caplinger	What's the Best Way for You to Invest? You've got a lot of choices in the financial services arena.
Registered Rep. November 5, 2003 Churchill & Gaffen	Pru Market-Timing Charges Widen The investigation into mutual fund trading abuses is widening, with the release of a complaint filed by the Massachusetts Securities Division against brokers who formerly worked in Prudential Securities' hub office in Boston.
CIO June 1, 2006 Susannah Patton	Online Banking's BOO-BOO People are banking online in greater numbers than ever before, but according to a recent survey, banks aren't keeping up with their customers' appetites for online financial planning assistance.
U.S. Banker June 2007 Lee Conrad	Banks' Insurance Operations: Are Painful Lessons Paying Off? Banks clamored for years for the right to underwrite and sell insurance, but few have proven adept at it. There are signs of progress, however, as some banks embrace the brokerage side and gain revenue.
Registered Rep. November 18, 2003 Will Leitch	Senate Committee Hears Testimony about Fund Industry Each day seems to bring more news from the mutual fund industry. And industry reform is in the air. The climate is such that on Capitol Hill today even the mutual fund industry's lobbying group had to eat some crow.
The Motley Fool October 25, 2007 Dan Caplinger	Brokers for Expert Investors Have you outgrown your brokerage account? When you're just getting started with investing, comparing brokerage firms is pretty easy. But when you go beyond the basics, you need a broker who provides more.
Financial Planning April 1, 2005 Paramjit Mahli	Adviser Pulse With 76 million baby boomers facing retirement, the future for independent financial planners has never looked better. Here are some secrets of independent planners' success.
Registered Rep. November 27, 2002 Will Leitch	Going Upstream Prudential gives up bringing the U.S. brokerage model to the Old World.
Registered Rep. November 6, 2002 Rick Weinberg	Brokers Taking Hits from Surveys Brokers continue to take hits for Wall Street's research conflicts and the sluggish market, according to two recent polls that show investors are not seeking advice from brokers.
Registered Rep. April 1, 2006 Kevin Burke	Herd Mentality Instead of being the value-adders they're supposed to be, brokers seem to be following the larger herd of investors. A recent survey shows about two-thirds of brokers invest more than half of the asset they manage with a single mutual fund family.
The Motley Fool October 19, 2009 Dayana Yochim	Report From the White House: Would Glass-Steagall Have Saved Us? Here is the third installment of our interview with Austan Goolsbee, chief economist for the President's Economic Recovery Advisory Board.
Registered Rep. August 29, 2006 Kristen French	Pru Agrees to $600 Million Market-Timing Settlement Prudential Equity Group admitted to criminal wrongdoing in connection with the market-timing practices of a number of its brokers between 1999 and June, 2003.
Registered Rep. August 2, 2010 Anthony Riotto	Filling The Talent Gap With Private Bankers When the market picks up there will be a tremendous demand for client service talent with the sales and relationship management skills found with private banker, brokerage firms and RIAs.
Job Journal August 24, 2003 Julia Hollister	Careers in Finance Explore the world of finance, and you may find an offer you can't refuse
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 May 30, 2007 Dan Caplinger	Get Paid to Save and Invest Credit cards aren't the only way to get cash back. Banks and brokers want your money, and they're willing to pay you for it.
Registered Rep. January 13, 2003 Gaffen & Geracioti	Wachovia-Prudential: For Real This Time? Can you say Pru-chovia? Prudential Securities and Wachovia Securities are very close to an agreement to join forces, one that was scuttled earlier in the year, reportedly due to differences in who would control the unit.
BusinessWeek April 18, 2005 Timothy J. Mullaney	Real Estate's Turf War Heats Up How old-line real estate agents are undermining advances by online discount brokers.
Financial Planning November 1, 2006 Daniel B. Moisand	Keep Standards High Financial planning is surprisingly under-regulated. The rules that do exist apply primarily to subset disciplines. As a result, all planners are regulated but no one really regulates planning.
Financial Planning July 1, 2005 Pamela Black	Looking Back William Casey, the CIA chief under President Reagan, played a pivotal role in naming the financial planning movement around 1970.
The Motley Fool September 5, 2006 Dan Caplinger	Get Your Two Cents' Worth Mutual funds are a great way for the smallest of investors to get in the game.
Registered Rep. January 1, 2003 Gaffen & Geracioti	What's Going to Happen to the Rock? The Prudential unit seems like a serious candidate for a sale. It has been losing money and been a perennial under-performer.
Registered Rep. October 1, 2002 David A. Geracioti	Outgrowing the Series 7? Registered investment advisors must take the Series 65 exam. As the line between brokers and financial advisors blurs, what responsibilities do brokers that dispense advice and collect a fee based on assets have?
The Motley Fool December 29, 2003	What's a Mutual Fund? It's sort of like an investing club.
Registered Rep. March 1, 2005 Steve Watkins	Money in the Bank Bank-owned brokerage companies have awakened to the changes they need to make to attract top-shelf talent, and brokers are taking notice.
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.
The Motley Fool March 5, 2004 Selena Maranjian	What Stockbrokers Really Do Brokers are agents who take and fill your orders to buy and sell stocks and other securities. A former broker revealed to us how he was trained and under what conditions brokers often work.
Registered Rep. November 3, 2004	Broker or Advisor---Who Knows the Difference? More than half of American investors look to brokers for more than just transactional assistance, according to new research, which also finds that investors don't understand the differences between brokers and registered investment advisors.
Financial Planning July 1, 2005 James A. Barnash	Why We're Suing The FPA president explains the lawsuit over the SEC's broker-dealer rule that exempted certain broker-dealers from disclosure standards that apply to investment advisers and most financial planners.
The Motley Fool April 30, 2009 Dan Caplinger	Tools to Make You a Better Investor Brokers have been hurting, and you can take advantage. With brokers focusing on getting your business, you'll find them developing and expanding on tools that could help you invest more easily.
Investment Advisor October 2009 Bob Clark	Clark at Large: The Dog That Didn't Bark A fiduciary duty to all clients would be more immediate, widespread, and at least as beneficial as separate regulation of planners.
Registered Rep. November 1, 2002 David A. Gaffen	Requiem for the $250K Broker Until recently, brokers were immune to the industry's downsizing, which has included a decimation of the ranks of investment bankers and the elimination of thousands of support positions. Brokers, it was assumed, covered their own costs by generating commissions and fees. Not anymore.
The Motley Fool June 15, 2010	One Way to Profit From Higher Interest Rates The good news for brokers is that many have been adding new accounts throughout the recession, which means that once interest rates rise again, they could be bringing in even more interest income than before.
Registered Rep. December 1, 2002 David A. Gaffen	Light A Candle, or Curse the Darkness For brokers and financial advisors, 2002 may be remembered as the year in which those who knew they had the right stuff redoubled their efforts to elevate their skills and become the kind of advisors who could survive the bear market and build a 21st century practice.
The Motley Fool August 30, 2010 Dan Caplinger	Who You Trade With Does Matter It's easy to think that one broker fits all, but nothing could be further from the truth. Take the time to get to know your brokerage options. Only then will you have the knowledge base to make your best choice.
The Motley Fool February 15, 2006 Nathan Slaughter	Why I Failed as a Broker Even well-intentioned brokers with a vested interest in seeing their clients succeed will never have as much at stake as you do when it comes to your own money and financial independence.
Financial Planning June 1, 2011 Bob Veres	Things I Just Don't Understand Is there any profession, anywhere, that's raised its own standards voluntarily, identified and reduced its own conflicts of interest voluntarily and lobbied harder on behalf of consumer protections than the financial planning profession over the past 30 years?
Managed Care May 2000 John Carroll	Like Stock Brokers, Are Health Care's Middlemen Losing Influence? Those who make deals between buyers and insurers are used to perks and tidy commissions. The Internet and defined contributions may threaten that.