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Registered Rep. April 28, 2003 Will Leitch	Historic Settlement Doesn't Target Brokers -- But You're Hardly Home Free Now that the Wall Street global settlement is official, brokers might be inclined to heave a sigh of relief. Don't. While the settlement will have a lasting impact on the brokerage industry, brokers have been unscathed by the Spitzer investigations -- so far.
Registered Rep. October 29, 2002 Rick Weinberg	Morgan Stanley Opposes Fine Following the New York Attorney General's investigation of Merrill Lynch's research practices, the firm was fined $100 million. The attorney general's office is in the midst of an ongoing investigation of other firms, including Morgan Stanley, which is fighting back.
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.
Salon.com October 10, 2002 Damien Cave	Wall Street's worst nightmare Does New York Attorney General Eliot Spitzer really want to clean up the stock market, or just make himself look good?
Knowledge@Wharton	The Merrill Lynch Settlement: Good for Merrill, Not for Investors Many say the Merrill settlement does not resolve investors' fundamental concern: the inherent conflict produced by analysts' multiple dual role of serving investors and Merrill's investment banking business.
Registered Rep. September 25, 2002 Rick Weinberg	NY Attorney General: I Could Have Nailed Merrill on More Serious Charges Eliot Spitzer said he could have pursued criminal charges against Merrill Lynch for its conflicts of interest in its research, but that he didn't want to "destroy" the firm or Wall Street.
Registered Rep. January 1, 2003 Gaffen & Geracioti	The Future of the Industry The broker has to be a person who can handle every aspect of a client's financial life. The broker must evolve into a kind of chief financial officer for the client -- managing everything from investments to insurance to estate planning to mortgage banking.
Knowledge@Wharton September 24, 2003	Mutual Fund Scandals: Once Again, Individual Investors Are the Losers Is the mutual fund industry going to become mired in the kind of scandal that has afflicted so many public companies over the past few years?
Financial Planning August 1, 2008 Bob Veres	The Big Regulatory Fix If the same few companies are behind virtually every major financial scandal and meltdown, why are the regulators talking about tightening up on all financial advisors?
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.
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
Registered Rep. May 1, 2005 Richard Roth	The Worst is Over---Probably It's clear then that brokerage firms and retail brokers alike will be glad when the all-clear has sounded and Wall Street can stop looking over its shoulder and get back to work.
The Motley Fool November 3, 2004 Selena Maranjian	Why So Few "Sell" Ratings? There are many reasons why stock analysts rarely say "Sell"!
The Motley Fool June 16, 2006 Selena Maranjian	Time for Brokerage Stocks? Some think it's a good time to buy brokerage stocks. Do you?
BusinessWeek April 19, 2004 Marcia Vickers	Charles Merrill: Selling Stocks To The Masses Over the next decade after the 1929 market crash Charles E. Merrill burnished a revolutionary idea: Bring Wall Street to Main Street by democratizing the market. In 1940, he gave his vision shape by creating the brokerage firm now known as Merrill Lynch & Co.
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.
The Motley Fool June 9, 2004 Tom Gardner	Wall Street's in Trouble Could the future earnings of prominent Wall Street firms be at risk?
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.
BusinessWeek September 2, 2010 Moore & Mildenberg	In the Battle of the Big Brokers, Merrill Is Winning Merrill Lynch earns higher profits with fewer advisers, thanks to a smooth integration with Bank of America and more cross-selling.
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. January 1, 2006 Stan Luxenberg	Housewarming Come April, Merrill Lynch will remove its famous name from the brokerage's own funds to relaunch them under a new (as yet to be determined) name to compete on their own. But all the major wirehouses have struggled to sell their proprietary mutual funds.
Registered Rep. July 2, 2003 David A. Gaffen	Judge Dismisses Class-Action Suits Against Merrill, Others It was a victory in court yesterday for Merrill Lynch and three other large investment banks -- Morgan Stanley, Credit Suisse First Boston, and Goldman Sach -- as judges dismissed claims in two class action suits related to the firms' tainted stock research.
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.
Financial Advisor November 2003 Marla Brill	Advisors Divided Over Fund Scandals Some think they are isolated cases; others say their faith is being tested.
AskMen.com Michael Estrin	Buying Stocks: 10 Things To Remember With the bubble of the 1990s clearly over and a return to more rational investing, a lot of individual investors are returning to the stock market.
The Motley Fool May 27, 2005 Selena Maranjian	What Selena Maranjian Is Buying Now Most of us are on the lookout for attractive stocks to buy, and it sure seems sensible to peek over the shoulder of successful investors. But there are downsides to investor tips.
Registered Rep. March 1, 2003 Grove & Prince	The Affluent Are Searching for Relief in Alternatives The rich shouldn't care if it's a bull or bear market. That's because the rich have so many investment options -- they can go completely short, or pick a cocktail of alternative investments, that, theoretically, could hedge away risk. Surveys show the affluent are doing exactly that.
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 February 4, 2005 Paul Elliott	Wall Street's Worst-Kept Secret If you invest in stocks for the long term, you must own small-cap stocks.
The Motley Fool June 22, 2004 Mark Mahorney	The Economy vs. Rates Debate Goldman Sachs released some impressive second-quarter numbers this morning. However, investors have been convinced that rising interest rates will hurt the bottom lines of this as well as other brokerages.
Registered Rep. March 1, 2003 William Jacobson	Feeling Their Pain Analyst fraud has made for strange bedfellows. Normally, customers and brokers have nothing in common when it comes to investment losses. When it comes to tech, however, you and your customers rode the stocks down together as your firm's analysts kept shouting, "Strong Buy."
The Motley Fool March 4, 2005 Paul Elliott	Wall Street's Worst-Kept Secret Over the long haul, smaller-company stocks outperform their mid- and large-cap peers, so smart investors own them.
The Motley Fool May 27, 2005 Bill Barker	$40 Billion Small Caps How your "small-cap" fund might own some of the biggest companies in the market.
The Motley Fool January 23, 2006 Rich Duprey	How Many Is Too Many? The legends weigh in on the eternal question of how many stocks to own. But a portfolio of quality companies takes years to build -- don't expect it to grow overnight.
The Motley Fool March 24, 2006 Paul Elliott	Yes, You Can Still Cash In Why small-caps (especially small-cap growth) are a good place to put your investment dollars.
Knowledge@Wharton December 18, 2002	You Could Have Shorted Dot-coms; You Just Didn't Why did common sense, sound analysis or betting against the trend fail to curb the enthusiasm in this case?
The Motley Fool August 13, 2004 Tom Gardner	Should You Own 50 Stocks? The majority of individual investors in stocks are still in learning mode and should have very diversified portfolios.
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.
Financial Advisor August 2004 Alan Lavine	Small-Cap Funds Start Exhibiting Caution Several managers believe next year will be better than this year. But they are also realistic.
The Motley Fool November 5, 2004 Tim Beyers	Penny Stocks From Heaven Sure, many penny stocks are bad. But some of them offer divine returns for the money-wise bargain hunter.
The Motley Fool January 7, 2005 Paul Elliott	Wall Street's Worst-Kept Secret If you invest in stocks for the long term, you must own small-cap stocks.
Registered Rep. October 8, 2002 Rick Weinberg	To Improve Profitability, Merrill Curtailing Trading of OTC Issues. A Time to Buy Small-Cap Issues? "With fewer players, that means there will find more inefficiencies in that part of the market."
Registered Rep. February 1, 2003 Stuart Chaussee	Trading Places It's time for a growth rebound. The argument for growth rests on the reversion-to-the-mean concept. Overly simplified, the concept means that when stocks (or any asset class) outperform their historical average, that asset class enters a period of underperformance and vice versa.
BusinessWeek April 17, 2006 Roben Farzad	Blue Chip Blues How long will the stocks of America's largest companies remain weaklings on Wall Street?
Registered Rep. November 1, 2002 Eric Uhlfelder	Reversal of Fortune More than likely, some sub-$5 stocks will dodge the bullet and turn around. But since such recoveries likely will depend on improvement in the broad economy, most clients would probably be better off sticking with companies that have better weathered the bear market.
The Motley Fool June 8, 2004 Shannon Zimmerman	The Case for Mutual Funds Our resident fund jockey takes on all doubters. Are mutual funds a good investment, or just a way to underperform?
Financial Advisor October 2004 Alan Lavine	Pondering The Fate Of Mid-Cap Stock Funds Is the market rotating away from this once-hot sector?
AskMen.com April 14, 2002 Rashmikant Patel	Starting A Portfolio Investors can easily understand and build a portfolio that conforms to their needs...
The Motley Fool October 4, 2005	Fun With Funds A guide to common types of mutual funds.
BusinessWeek July 4, 2005 Aaron Pressman	Option Income Funds: Watch Out Option income funds, which hold stocks and sell call options against them, offer payouts that are generous in these low-yield times, but the risks are great.