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Investment Advisor
May 1, 2011
Melanie Waddell |
Is the Protocol Long for This World? With Wall St. firms carving out 'exceptions,' Patrick Burns asks if a weakened Protocol can survive   |
On Wall Street
October 1, 2012
Lorie Konish |
Settlement May Not End Merrill Lynch's Deferred Compensation Woes Exemptions and the chance to opt out have lawyers predicting the $40 million proposed deferred compensation plan settlement will not cease litigation against Merrill Lynch. |
Investment Advisor
July 2008
Elizabeth D. Festa |
Fight the Power You can take on the Financial Industry Regulatory Authority (FINRA) and actually come out better than if you had settled. |
Investment Advisor
January 2010
James J. Green |
BAIS Moves Reps to Merrill Banc of America Investment Services (BAIS), Inc., transitioned its registered representatives to Merrill Lynch, and then requested that FINRA withdraw BAIS's broker/dealer registration. |
InternetNews
September 11, 2007
Stuart J. Johnston |
States Request Microsoft Oversight Extension At a hearing Tuesday regarding the pending expiration of much of Microsoft's antitrust settlement, a group of states requested continued oversight of the software giant. |
On Wall Street
September 1, 2010
Alan J. Foxman |
Ponzi Schemes And Problems Paying Fines Q&A: What does it mean for advisors that records are now available to the general public online?... How will arbitration payments I must make but cannot afford right now affect my license?... more... |
Registered Rep.
April 1, 2005
John Churchill |
Merrill Takes a Late Hit on Research Scandal An NASD arbitration panel ordered Merrill Lynch to pay more than $1 million to an investor last month for hiding conflicts of interest and issuing fraudulent research. |
Registered Rep.
July 1, 2005
Bill Singer |
An Industry in Need of Counseling The relationship between regulators and the brokerage industry lately resembles that of a long-term union that's hit the rocks, and the pair could benefit from opening up a little more to each other. |
Registered Rep.
March 15, 2006
Kevin Burke |
Merrill Fined $2.5 Million Over Lax Email Oversight The SEC slapped the nation's largest brokerage with a $2.5 million fine and a cease-and-desist order for a "systemic" mishandling of email records related to its brokerage business. |
Registered Rep.
May 9, 2011
Gleeson & Britton |
New SEC Disclosure Rules Dismay Some Advisors; Advisor Disciplinary Histories in Welcome Packets New SEC rules that require federally-registered advisors to disclose their disciplinary histories in brochures and provide them to clients will get under way in earnest by the end of the summer. |
On Wall Street
April 1, 2010
Howard J. Stock |
Back Office Move Has Advisors Up In Arms -- Some Bolt Questions surround what will happen to BAI clients when Merrill moves their accounts from National Financial to Merrill Lynch. |
Registered Rep.
November 16, 2012
Jerry Gleeson |
Tardy Advisors Get a Reprieve Mid-sized RIAs who are behind on switching their registration from federal to state jurisdictions now have until Dec. 17 to get caught up. |
Registered Rep.
October 31, 2008
French & Churchill |
If Bank of America Signs Protocol, It's Business As Usual. If Not, Maybe Not But Merrill Lynch advisors may not know whether BofA will sign it before they have to sign their own retention agreements. |
Registered Rep.
November 1, 2007 |
Correction In a story titled "Meet the New Panic, Just Like the Old Panic" in our October issue, we wrote that the co-author of The Panic of 1907 was Robert F. Burns. In fact, his name is Robert F. Bruner. We regret the error. |
Registered Rep.
November 6, 2008 |
Bank Of America To Sign Protocol, Herd Still Weighing Options Bank of America intends to sign the so-called "broker protocol," an agreement signed by most of the brokerage firms and RIAs stipulating what client information is acceptable for a departing financial advisor to take without getting sued by the former employer. But when? |
Registered Rep.
July 23, 2007
Kevin Burke |
Ex-Merrill Broker Wins $1.6 Million in Rare Arbitration Award An NASD arbitration panel awarded a former Merrill Lynch broker $1.6 million for wrongful termination and defamation, claims he had filed against his former employer. |
Financial Advisor
May 2011
Sherri Scordo |
Frontline News Is the broker protocol being eroded... Fiduciary can be marketing tool to get high net worth clients... Americans unconfident about their retirement... |
On Wall Street
December 1, 2008
Frances A. McMorris |
Bank of America Gets on Board Bank of America finally gave in and agreed to join the industry-wide protocol in an effort to prevent an exodus of Merrill Lynch financial advisors. |
Registered Rep.
September 8, 2006
Halah Touryalai |
Merrill Discrimination Suit Moves Forward After Failed Settlement Talks The racial-discrimination suit against Merrill Lynch is under way again after settlement talks between African-American brokers and the firm came to a halt in early June. |
Registered Rep.
April 16, 2010
Jerry Gleeson |
Merrill Advisor Defections Flat In Q1, Profit Falls Profits were down last quarter at Merrill Lynch but the brokerage's performance still helped to lift the fortunes of its new parent, Bank of America Corp. |
Registered Rep.
August 13, 2007
Halah Touryalai |
Merrill Grabs Advisors Producing $5.5 million From Rival UBS Merrill Lynch won big last week in the aggressive industry-wide recruiting war for top advisors. |
Registered Rep.
April 15, 2009
Kristen French |
Bank of America Launches Client Referral Program It's one of several referral programs the bank is putting together as part of its integration with Merrill Lynch, including one that would offer leads from the commercial banking division to certain Merrill Lynch advisors. |
Financial Planning
October 1, 2011
Jim Grote |
Merger Minded John Burns has learned that the quickest way to grow his practice is to merge with other like-minded firms. As part of a determined growth strategy, Burns Advisory Group is joining with Executive Financial Group, a firm that focuses on Fortune 500 executives. |
BusinessWeek
August 7, 2008
Amy Feldman |
He's Not Buying It Why one real estate pro is keeping his wallet shut. |
