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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.
March 1, 2005 |
Ten Years Ago in Registered Rep. A quote from March 1995 numbering the days of brokers pushing hot stocks. |
Registered Rep.
March 23, 2006
Kevin Burke |
Investment Fraud Suit Brought By Brokers Blocked By The Supremes It might just have gotten harder to sue your firm and win money for bad research. The Supreme Court unanimously ruled that investors who believe they were duped into holding stocks by a brokerage firm are precluded from filing large class-action lawsuits in state courts. |
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. |
On Wall Street
December 1, 2010
Frances A. McMorris |
Broker Pay: The Next Regulatory Target? The federal agency's chairman, Mary Schapiro, said she wants to see rules that encourage "compensation programs that incentivize the right kind of behavior and conduct on the part of the industry," as opposed to short-term risk-taking. |
On Wall Street
December 1, 2009
Mark Astarita |
Brokers as Fiduciaries -- Much Ado About Nothing There is a battle cry to place a fiduciary obligation on retail brokers. But the real question is: What difference will it really make? |
Registered Rep.
March 21, 2006
Kevin Burke |
Former Prudential Broker Barred for Market Timing A federal judge barred for life a former Prudential Securities broker for failing to respond to an order instituting proceedings issued by the SEC over fraud charges. But that may be the least of his worries. |
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. |
Insurance & Technology
March 18, 2005
Wendy Toth |
Whose Side Are You On? The shift in the business model, the study reports, creates an opportunity for insurers to connect with buyers directly. |
The Motley Fool
May 20, 2004
Tim Beyers |
American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest? |
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. |
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. |
Investment Advisor
May 2007 |
The Original SEC Rule The Security and Exchange Commission's original decision on the broker/dealer exemption rule exempting brokers from regulation as an investment advisor even when they were being paid fees for investment advice. |
The Motley Fool
March 12, 2004 |
Discount vs. Full-Price Brokers Why should you pay 10 times more for a stock trade? |
Registered Rep.
February 19, 2010
Christina Mucciolo |
FINRA Seeks to Expand BrokerCheck, Make Some Records Permanent The Financial Industry Regulatory Authority announced it is seeking the SEC's approval to expand the amount of information made public on current and former brokers' permanent records in its free online CRD database, BrokerCheck. |
The Motley Fool
April 13, 2004
Selena Maranjian |
Full-Service vs. Discount Brokers There isn't a great distinction between them anymore. |
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. |
The Motley Fool
March 30, 2010
Dan Caplinger |
The Best Way to Buy Stocks Is one broker really that much better than another? |
Registered Rep.
February 1, 2003
Will Leitch |
NASD Investigates Potential Breakpoint Violations The confusing slew of regulations that have followed on the heels of the Sarbanes-Oxley Act has tapped a strange feeling in brokers: the fear of violating securities rules unwittingly. A recent investigation by the NASD shows their worries are not unfounded. |
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. |
The Motley Fool
February 17, 2005
Tim Beyers |
Is American Funds Un-American? And you thought the fund scandal was over. But don't despair; there is something you can do. From now on, recognize that your broker and advisor are often salespeople first. Your portfolio will thank you for it. |
The Motley Fool
October 7, 2004
Robert Brokamp |
Financial Predators Does your financial advisor care more about your retirement, or his? Look for a broker with whom you can trust and has beat a relevant benchmark after fees and taxes over a three-year period. |
CFO
September 1, 2005
Russ Banham |
Seeing No Evil The contingent-commission scandal has called into question long-standing insurance practices. But corporate risk managers share the blame. |
Financial Planning
November 1, 2009
Robert Pozen |
Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors. |
| Knowledge@Wharton |
What's Wrong With Spitzer's Solution to Analyst Bias? Experts on the financial markets disagree over how bad the stock-analyst bias problem is today. But few find much good to say about Eliot Spitzer's approach. |
BusinessWeek
April 11, 2005
Toddi Gutner |
Broker Or Adviser? Be forewarned: If yours is employed by a brokerage, your interests come second |
The Motley Fool
October 27, 2004 |
Fussing About Fund Fees Mutual fund fees may look small, but they can eat much of your earnings. |
On Wall Street
June 1, 2010
Mark Astarita |
Tilting the Litigation Landscape Against the Financial Industry Current reform proposals could radically alter the broker-client relationship. |
Registered Rep.
January 8, 2003
Will Leitch |
NASD: Firms Are Overcharging Clients The NASD, acting on a tip acquired during an investigation, has sent several brokerage firms word that it has discovered brokers are not providing earned discounts to mutual fund investors, therefore overcharging them. |
Registered Rep.
October 1, 2002
Rick Weinberg |
Brokers Fear Arbitration... With arbitration cases on the rise, many brokers are worried about the prospect of being dragged through a legal process that, because of the current environment, some believe is heavily slanted toward the client. |
BusinessWeek
August 16, 2004
Emily Thornton |
The Brokers Strike Back Wall Street to investors: Beware of suing your brokers -- they might just sue you back. |
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. |
Registered Rep.
September 1, 2004
Mindy Diamond |
Of Myths and Moving A large number of brokers labor under a group of myths and misconceptions that keep them from managing their careers effectively. |
Registered Rep.
September 21, 2007
Halah Touryalai |
Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers. |
Registered Rep.
February 12, 2003
Ross Tucker |
Slow Growth in Fee-Based Business Relatively few brokers are increasing their commitment to fee-based advisory practices, a new report indicates. |
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?" |
InternetNews
October 23, 2006
Ed Sutherland |
Online Brokers Hit By Fraudsters SEC and other regulators investigate millions in losses of E*Trade and TD Ameritrade customers. |
CFO
March 1, 2010
David M. Katz |
Is Your Broker Mediocre? It may be a buyer's market, but choosing the best broker is far from easy. |
The Motley Fool
March 21, 2007
S.J. Caplan |
Check Out Your Broker A redesigned website tells you what you need to know before you invest. |
The Motley Fool
March 11, 2004
Bill Mann |
New Standards Help Shareholders Many will think this sort of topic belongs squarely in the "so what?" category. But after the French company LVMH sued Morgan Stanley (NYSE: MWD) for what it considered to be extremely negative coverage -- and won -- this issue takes on some importance. |
Registered Rep.
May 26, 2006
Halah Touryalai |
NYSE Cautions Investors on Following Brokers to New Firms The release is part of the "Informed Investor" series developed by the NYSE Regulation to better educate investors. The announcement comes at a time when more reps are choosing to switch firms than at any time since 2002. |
Registered Rep.
November 1, 2002
Gaffen & Weinberg |
Brokers React to Citi's Research Move Sallie Krawcheck, former head of independent research firm Sanford C. Bernstein, will head a new business unit of Citigroup that will operate under the name Smith Barney, and include the private client group. Smith Barney brokers are skeptical, though. |
CFO
December 1, 2004
Randy Myers |
Busting the Brokers Eliot Spitzer's latest investigation has companies taking a hard look at their insurance programs. |
Registered Rep.
August 1, 2008 |
Correction The correction of a quote regarding information gathered from brokerage clients invested in auction-rate securities. |
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. |
Registered Rep.
October 14, 2010
Kristen French |
Merrill Brokers Had "Good Reason" To Leave, And Got $1.2 ml For It Two former Merrill brokers won $1.167 million in an arbitration award from Merrill Lynch for deferred compensation benefits |
Registered Rep.
April 1, 2006
Mindy Diamond |
On the Rebound Big firms are sending low-producing brokers messages that they are no longer as wanted as they once were. Brokers who see the handwriting on the wall, may have better options if they jump to another firm before being pushed. |
The Motley Fool
August 12, 2004 |
Understanding Mortgage Brokers For many people, the best way to get a mortgage is through a broker. |
Registered Rep.
March 1, 2006
Mindy Diamond |
Creative Giving Over the past year, top brokers who have switched houses on the Street have gotten some very creative compensation packages. The better the broker the more bells and whistles -- like loans and designer offices -- they are offered. |
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? |
