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Registered Rep.
May 13, 2003
Ross Tucker |
Mass Defections at Waddell & Reed An en masse defection of advisors from several Waddell & Reed offices in the New York and Connecticut region has begun, according to a former executive closely involved in the situation.   |
Registered Rep.
January 16, 2004
John Churchill |
NASD Charges Waddell & Reed With Violations The NASD Wednesday slapped Waddell & Reed with more than 6,700 complaints, charging that the firm systematically encouraged brokers to recommend unsuitable variable annuity exchanges to its customers. |
Registered Rep.
September 17, 2003 |
NASD to Sawtelle: You Still Get $25M An arbitration panel has done what it was asked: to reconsider the $25 million in damages awarded to former Waddell & Reed broker Stephen Sawtelle. Their decision? Sawtelle should still get the money, according to a decision reached Sept. 4. |
Registered Rep.
December 20, 2005
Halah Touryalai |
Broker Cleans Up Millions From Dirty Campaign Charges A broker won nearly $10 million from his former employer, Waddell & Reed, last week -- six years after first suing the broker/dealer for smearing his reputation and eight years after being fired in the wake of his testifying against the firm at an SEC hearing. |
The Motley Fool
April 26, 2006
Tom Taulli |
Waddell & Reed Abides One of the oldest mutual fund companies is also one of the steadiest. Investors, take note. |
Registered Rep.
April 21, 2003
Ross Tucker |
Optimism Among Wealthy Grows Good news for advisors looking to land affluent clients: Wealthy Americans are starting to regain confidence in future business and market conditions. |
| Registered Rep. |
The Top 30 Independent Broker/Dealers in 2015 The list below is comprised of the 30 largest IBDs ranked by average assets under management per advisor, as of 2014. |
Investment Advisor
May 1, 2011
John Sullivan |
(W)reckoning Day Advisors have the unique ability to explain macro events to the micro client in a way they can easily understand |
The Motley Fool
July 21, 2011 |
Waddell & Reed Financial Earnings Preview Investors brace for a bumpy ride ahead of Waddell & Reed Financial's earnings announcement, because during the past fiscal year the company has wavered between beating and falling short of analyst predictions. |
Registered Rep.
September 30, 2009
David A. Geracioti |
Do Retail Financial Advisors Have an "Unhealthy Focus?" The Financial Times suggests the way financial products and services are sold need to be completely overhauled. |
Financial Advisor
December 2005
Grove & Prince |
Raising The Bar On Value-Added Services There is an unequaled opportunity for growth when financial advisors leverage the expertise and resources of financial institutions and partner with their product providers. |
