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Registered Rep.
April 18, 2007
Halah Touryalai |
Chuck Prince: Smith Barney Goin' Nowhere Citigroup's CEO has been at the center of company news recently with his plans to cut costs including last week's announcement of about 17,000 job cuts. That cut may affect over 100 Smith Barney employees and about 30 advisors.   |
Registered Rep.
December 1, 2005
Halah Touryalai |
Smith Barney: New Focus On the Horizon While most Smith Barney advisor respondents were generally unimpressed by the acquisition of Legg advisors, it'll be interesting to see if Smith Barney's jettisoning of its asset management group -- and resulting new focus on retail distribution -- will rejuvenate the firm. |
Registered Rep.
December 23, 2003
David A. Gaffen |
Smith Barney's Unified Managed Accounts Raises $500 million Though still in its infancy, Smith Barney's unified managed account has gathered more than $500 million in assets in just two-and-a-half months. The UMA has been heralded as the next stage in the managed account arms race. |
Registered Rep.
December 4, 2002
Rick Weinberg |
Weill Postpones Elimination of Salomon Name Sandy Weill, the chairman of Salomon Smith Barney's parent Citigroup, has informed brokers and other employees that plans to eliminate the Salomon name, a Wall Street hallmark for nearly a century, have been postponed, according to sources. |
Registered Rep.
January 9, 2008
Halah Touryalai |
Smith Barney Snags Three Advisors From Rivals Smith Barney has started off the new year right with a recruiting victory. The firm recently hired three Merrill Lynch reps and one UBS advisor. |
Registered Rep.
May 7, 2007
Christina Mucciolo |
Smith Barney Closes a Few Offices, Prepares to Consolidate Others The firm prepares to consolidate as part of a larger cost-cutting program in the works at parent Citigroup. |
Registered Rep.
May 30, 2003
David A. Gaffen |
The New Smith Barney CEO Sallie Krawcheck was recruited to restore the credibility of Smith Barney and lead the business through its toughest slump in a generation. Krawcheck wants Smith Barney advisors to more than double their average annual production to $1 million. |
Registered Rep.
December 16, 2004
David A. Gaffen |
Smith Barney's Matthews Retires; Johnston Steps In Tom Matthews, president of Smith Barney's global private client group, is retiring and Charles Johnston, currently director of the retail branch system at the firm, will replace him. |
Registered Rep.
December 12, 2006
Halah Touryalai |
Smith Barney Pay Package: Perks Balance Cuts? This week, Smith Barney will become the first firm to make a change to its payout grid as a result of the securities industry's recent battle over broker overtime pay and so-called chargebacks. |
Registered Rep.
June 1, 2006
Kristen French |
Hungry for Hires Wachovia hired a whopping 900 reps in 2005, bringing the total to 10,400, and aims to add the same number in 2006, including around 100 rookies. |
Registered Rep.
May 1, 2005
John Churchill |
Class-Action Threat Smith Barney is facing a new round of sex-discrimination suits. |
Registered Rep.
October 18, 2007
Halah Touryalai |
At Citi, Profits Are Down; Smith Barney Wins Five Morgan FAs With Nearly $600m AUM; ML Loses Two Citigroups' third-quarter profits are down 57%... over at its Smith Barney unit, Charlie Johnston's team had a pretty good recruiting week... etc. |
Registered Rep.
March 7, 2011
Jerry Gleeson |
Morgan Stanley May Drop "Smith Barney" From Name Will the Smith Barney name go the way of A.G. Edwards, Bear Stearns, and other brokerages whose historic identities were sublimated following acquisitions by larger firms? |
Registered Rep.
November 18, 2005
Kristen French |
Smith Barney Cuts Pay for Smaller Brokers The new pay scale was announced to brokers internally in October and will take effect in January. |
Registered Rep.
October 23, 2003
David A. Gaffen |
Spartis Cleared In Failure to Cooperate Charge Former Smith Barney broker Phil Spartis, who was responsible for overseeing the options exercise program for WorldCom employees, has been cleared of a charge brought against him by the New York Stock Exchange. |
Registered Rep.
March 3, 2008
Christina Mucciolo |
Krawcheck Says Advisors Not Forced Into Wealth Silos: UPDATE Citigroup's reorganization of its private bank and Global Wealth Management division, announced Tuesday, will absolutely not force advisors into silos based on client wealth. |
Registered Rep.
October 1, 2006
John Churchill |
Crackberry Addicts Fight Back Run afoul of the law while tapping or yapping into your Blackberry and you may have a case-against your employer. |
Registered Rep.
February 23, 2007
Kevin Burke |
Disgruntled Smith Barney Brokers Are Voting with Their Feet Sixty-nine brokers left Smith Barney, just ahead of a three-day weekend. Fridays before a long weekend are historically prime times for unhappy brokers to make a clean break, but the large number of brokers taking off on a single day is alarming. |
Registered Rep.
April 17, 2009
Halah Touryalai |
Smith Barney Losing Advisors, Client Assets But while Smith Barney is losing reps, it also appears to be recruiting heavily. |
Registered Rep.
March 1, 2007
John Churchill |
Sallie's Back At first glance, this second coming of Sallie Krawcheck probably looks like a cakewalk compared to her first adventure in 2002. But, make no mistake: Smith Barney is not the awesome brokerage it appears to be on paper. |
On Wall Street
September 1, 2011
Lorie Konish |
Morgan Stanley Smith Barney's $1 Trillion Target Morgan Stanley Smith Barney focuses on growing its Consulting Group division, where it aims to double the assets in the managed account group to more than $1 trillion within the next five years. |
Registered Rep.
May 1, 2005
John Churchill |
Hidden Dragon The New York Post reported in in error that Eve Salvail, the French-Canadian model known for the elaborate dragon tattoo that adorns her head, had become a financial consultant at the firm. |
Registered Rep.
April 29, 2004
David Gaffen |
Smith Barney Stays the Course Contrary to other large wirehouse brokerages, Smith Barney does not plan on aggressively expanding its sales force at this time. |
Registered Rep.
August 1, 2005
John Churchill |
Should I Stay or Should I Go? When Smith Barney and Legg Mason announced a deal to swap the wirehouse's asset-management business for Legg's brokerage unit, a lot of Legg reps made calls to recruiters and began to prepare for a move. But now, a lot of reps have stopped packing. |
Registered Rep.
June 1, 2009
David Geracioti |
Can You Say, "Morgan Stanley Smith Barney?" The Joint Venture Launches Today The deal merging Citi's brokerage (Smith Barney) with Morgan Stanley's Global Wealth Management Group is closed -- ahead of schedule. |
Registered Rep.
December 1, 2002
Ross Tucker |
Happy Holidays! You're Fired. The ax will fall at year's end for some 700 of 13,500 Morgan Stanley brokers. Some branches will be closed entirely. |
Registered Rep.
November 1, 2002
David A. Geracioti |
Spartis, Elias Each Seek $100M From Smith Barney Spartis and Elias claim they were wrongfully fired in February. They claim that Smith Barney did not adequately represent them in WorldCom-related customer complaints. |
Registered Rep.
October 9, 2008 |
Smith Barney Closing Branches, Letting Managers Go As part of a larger cost-cutting effort, Smith Barney is consolidating some of its branch offices and laying off a number of its branch managers. |
Registered Rep.
July 19, 2004
David A. Gaffen |
Several Large Producers Leave Smith Barney Smith Barney has been hit with a few high-profile defections in the last month or so, as several large producers have taken their lucrative businesses to other firms. |
Registered Rep.
January 1, 2007
Kristen French |
More or Less? Smith Barney overhauled its pay package -- just in time for the new year. Some of the changes it made were pretty radical -- especially for an industry in which any pay change, no matter how minor, is often a source of uproar. |
Registered Rep.
January 1, 2006
Kristen French |
What's in a Name? Financial advisor is the name most of the other wirehouses use for their registered reps these days. It reflects the industry's attempts to transform its reps from commission-based stock jockeys to fee-based relationship managers. |
Registered Rep.
March 8, 2012
Kristen French |
Due Diligence: Morgan Stanley Advisors Paid to Put Clients in New Amex Credit Card Morgan Stanley Smith Barney financial advisors and client service associates will get a "small" amount of compensation for the administrative process of handling card sign up. |
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. |
Registered Rep.
April 1, 2008
David Geracioti |
Sallie Krawcheck A conversation with Sally Krawcheck, CEO of Citigroup's Smith Barney unit, about the company's recent reorganization. |
Entrepreneur
November 2006
Nichole L. Torres |
Loud and Clear Boost sales by selling customers on your competitive advantage. |
Registered Rep.
November 1, 2006
Angela Covo |
Skirts Vs. Smith Barney Less than 10 years after they settled the infamous "boom-boom room" case, Smith Barney is being sued for gender discrimination again. |
Registered Rep.
February 21, 2007
John Churchill |
Smith Barney Comp Pleasant Surprise Judging from initial reports from reps, the written version of the new plan is an improvement from the prior version -- a plan many reps equated to a pay cut despite the firm's insistence that it was "revenue neutral." |
The Motley Fool
September 18, 2009
Morgan Housel |
Citigroup Hates Its Profitable Assets With Smith Barney divested, shareholders may wonder where profits will come from. |
Registered Rep.
April 1, 2008
Christina Mucciolo |
Citi Reorganizes For Smith Barney Citigroup announces plans to reorganize its private bank and Global Wealth Management division into four separate units according to client wealth. |
Registered Rep.
November 1, 2004
David A. Geracioti |
New Perks for Smith Barney HNW Clients The firm has introduced a new segmentation program designed to offer benefits to clients based on the level of assets they keep. |
Registered Rep.
June 1, 2004
David A. Gaffen |
Expand the Sales Force? Not Smith Barney The firm does not plan on aggressively expanding its sales force at this time, but rather intends to maintain its staffing level --- currently about 12,500 financial advisors. |
Registered Rep.
July 21, 2010
Jerry Gleeson |
Assets, Advisors Decline at Morgan Stanley Smith Barney in Q2 Morgan Stanley is making continued progress on its integration with Smith Barney, but declines in assets and headcount suggest it may be feeling the pain of client and advisor departures. |
Registered Rep.
July 25, 2007
Kevin Burke |
Smith Barney Fined $50 Million for Market Timing; More Firms, Reps To Be Fined So you thought the market timing scandal was over? Think again. |
Registered Rep.
September 27, 2006
Angela Covo |
Women on Wall Street Still Fighting Discrimination Less than 10 years after they settled the infamous "boom-boom room" case, Smith Barney is being sued for discrimination again. The new lawsuit doesn't include sexual-harassment charges, but does address the economics of gender discrimination. |
Registered Rep.
January 14, 2011
Kristen French |
Some MSSB Advisors Upset by Johnston's Departure Morgan Stanley CEO James Gorman announced Thursday that Greg Fleming, head of the firm's asset management business, will replace Charles Johnston as head of wealth management. |
Registered Rep.
February 1, 2005
John Churchill |
Secret to a Long Career: Going with the Flow Irene Bann's 78-year tenure as a Smith Barney broker is full of lessons for the reps of today, but perhaps none is so important as her approach to overcoming adversity in her career and in life. "You just get on with it," she says. |
Registered Rep.
December 1, 2004
David A. Gaffen |
Sallie Krawcheck Has Left the Building In a move that presages future Citigroup plans, Smith Barney CEO Sallie Krawcheck and Citigroup's CFO Todd Thomson have switched offices. |
Registered Rep.
March 1, 2003
Will Leitch |
CAP and Frown A long-running dispute over a Salomon Smith Barney Capital Accumulation Plan (CAP) is going to trial. |
Registered Rep.
August 26, 2003
David A. Gaffen |
Smith Barney Settles On WorldCom; Spartis, Elias Continue Fighting A million dollars. That's the amount brokerage firm Smith Barney agreed to pay in a settlement with the New York Stock Exchange in an investigation of improper conduct at an Atlanta branch of the firm related to WorldCom employee/shareholders. |
Registered Rep.
September 24, 2002
David A. Gaffen |
Former Brokers Sue SSB, Grubman, Even Sandy Weill Want $100 Million Each for Wrongful Termination, Defamation Spartis and Elias claim that they were wrongfully fired from their positions in February of this year after the firm, in their eyes, did not adequately represent them in complaints filed by customers related to WorldCom. |
