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Registered Rep. February 1, 2005 Bill Singer	Short but Not Necessarily Sweet It's a heady moment when a rep leaves his firm. It also often sets in motion a series of showdowns over client ownership and compensation issues. One way to make things easier is to pay careful attention to your resignation letter.
Financial Planning May 1, 2006 Marianne Czernin	Don't Let Simple Things Trip You Up! Financial professionals must take the time to make sure they understand what the various regulatory organizations require them to do before they actually do it. They shouldn't go it alone, or they could find themselves in the same situations as these reps.
Registered Rep. July 1, 2004 Bill Singer	When Silence Isn't Golden Reps may not inhibit customers or other parties from providing information, documents or testimony or from cooperating otherwise with a regulator in an investigation of alleged violations, even after a settlement.
Registered Rep. May 1, 2004 Bill Singer	It's Your Call Always Far too many reps are learning the hard way how little responsibility clients shoulder when it comes to assessing the suitability of their investments.
Financial Planning September 1, 2006 Marianne Czernin	Compliance Tips Your Ongoing Commitment to the NASD: It's important to know that as a registered rep currently employed by a broker-dealer, your obligations to the NASD do not cease should you quit and decide to become a carpenter, congressman or pirate.
Registered Rep. August 1, 2004 Bill Singer	Dealing With Complainers Many official complaints can be handled in a way that minimizes the damage to a rep's reputation and to his permanent record.
Entrepreneur April 2006 Kimberly L. McCall	Break It Up If a customer calls to grouse about one of your sales reps, what should you do? Here are some ways to finesse this sticky situation.
Registered Rep. January 1, 2005 Jennifer Woods Burke	Not in My Name Under limited circumstances, NASD Rule 2130 allows registered representatives to erase histories of disputes with customers from the CRD system.
Job Journal May 1, 2005 Burt Nadler	When the Interview Is Imminent Wondering where to turn when the job interview is just hours away? Try this five-step approach to last-minute interview preparation.
Job Journal August 24, 2008 Burt Nadler	When the Interview is Imminent Last-minute strategies when you're feeling unprepared for the moment of truth.
Registered Rep. January 1, 2007 John Churchill	Will Jones Wrap it Up? Buy-and-hold Edward Jones is considering a platform option it has long eschewed as foreign to the firm's culture: fee-based accounts.
AskMen.com Mr. Mafioso	Building Your Reputation Simply having a good rep makes everything you do that much easier. But building one takes time, so start at a young age and guard it with your life.
Investment Advisor August 2010 Thomas D. Giachetti	The Compliance Coach: Independent Advisors: Don't Violate the Protocol There are two major issues for a registered representative to consider when deciding to leave a firm and go independent. The first is how to leave. The second is appropriate registration and ongoing regulatory complance requirements.
Registered Rep. January 1, 2007 Bill Singer	I Kid You Not NASD enforcement actions can flatten a registered rep's life savings and bury his career. That's no laughing matter. Still, there are some cases in which the circumstances are so zany that even the prickliest observer can't help but snigger.
Job Journal October 12, 2008 Penelope Trunk	Brazen Careerist: Five Interviewing Fundamentals Five ways you can improve your interview performance.
Pharmaceutical Executive May 1, 2005 Renda & Moyer	Superstar Selection Take your time interviewing and hiring your next rep - it will pay off for years to come. Remember, new hires are a representation of you, your company, and the entire pharmaceutical industry.
Registered Rep. April 1, 2007 Bill Singer	Clarence Darrow, You're Not Beware of water-cooler know-it-alls when it comes to legal advice regarding NASD violation issues.
AskMen.com Dimitri A.C. Ly	Recover From A Bad Interview These tips will help you recover from a bad interview and secure the job of your dreams.
Entrepreneur May 2006 Barry Farber	Star Qualities How can you make sure you shine in your customers' eyes? Adopt the top 5 traits clients say their favorite salespeople share.
Registered Rep. April 1, 2006	Mudslinger Stains Q: I've been a broker for 22 years and worked for two of the largest brokerage firms in the world. Several years ago, I received a phone call from a long-standing client, who'd received something strange in the mail... A: Document what is taking place... etc.
Registered Rep. October 1, 2006 Bill Singer	The Long Arm of NASD A registered rep with Northwestern Mutual Investment Services, helped found the Wisdom Mission Church, of which he was president: The NASD Investigates... SEC Review...
Job Journal June 27, 2004 Marty Nemko	Quick Fix: Winning the End Game Jobs are often won or lost after the interview. What to do after the interview.
Registered Rep. January 1, 2005 David A. Gaffen	Third Time Is a Harm A NASD proposal first announced in 2003 requires that reps with three or more formal complaints against them receive extra supervision from their firms. Most major broker/dealers are already operating as if the rule were in place.
Job Journal October 16, 2005 Marty Nemko	Quick Fix: Show Strength by Revealing Weakness Showing you're human during a job interview may make you more hireable.
Job Journal December 2, 2007 Penelope Trunk	Brazen Careerist: Five Ways to Flub an Interview Here are five mistakes a lot of people make -- even people who are great at doing interviews.
Registered Rep. May 1, 2004 David A. Feldman	What the Martha and Peter Case Means to You The recent convictions of Stewart and Bacanovic have important implications for all financial advisors.
Registered Rep. August 1, 2005 John Churchill	Brokers Called Up for Active Duty Face Licensing Headaches, Book-Poaching Colleagues For registered rep reservists serving in one of the nation's armed forces, coming home and returning to the job is soon to get a lot easier. Of course, the NASD says there is nothing it can do to prevent colleagues from stealing a GI advisor's book.
Registered Rep. July 1, 2004 Bill Singer	Alone In a Crowd Registered reps cannot count on their firms or the regulators to look out for them. Indeed, there's an argument to be made that these institutions cannot be relied upon to use common sense.
On Wall Street August 1, 2013 Alan J. Foxman	Legal Expert Discusses Commission Contracts Our legal expert discusses how to make sure you re getting your due in commissions.
Registered Rep. January 1, 2003 Bill Singer	Who Regulates the Regulators? In the securities industry, brokers are expected to follow the rules. If you don't, you will be held accountable by the NASD. But what do you do if the NASD doesn't follow the law?
Registered Rep. February 1, 2003 Bill Singer	Shelter From the Storm? In investor lawsuits against financial advisors, many reps choose to let the broker/dealer's lawyer represent them --- often simply because he's provided "free of charge". Big mistake.
Registered Rep. November 1, 2006 Ann Therese Palmer	Listen to Your Client Q: I'm handling and making recommendations in an account for an elderly client who has several million dollars in assets... A: From a liability perspective, should you follow the client's insistence here... etc.
Fast Company October 2000 Amy Wilson	Don't Take No for an Answer My Smartest Mistake: Persistence pays off.
Investment Advisor June 2010 Thomas D. Giachetti	Independence's Issues There are four main challenges faced these days by independent broker/dealers.
Job Journal July 15, 2007 Penelope Trunk	Brazen Careerist: Turn Your Interview Into a Job How to go in for an interview and walk out with a job offer.
Job Journal June 11, 2006 Michael Kinsman	Five Fundamentals for Acing Any Job Interview The president of a career consulting firm and author of The Ultimate Career Guide offers some simple, sound interview advice for anyone seeking that first job.
Investment Advisor September 2009	Broker/Dealer of the Year, Division II Quick company stats of The Investment Center.
Registered Rep. January 30, 2007 Halah Touryalai	At Independent B/D Confab, Optimism and Skepticism The head of the Financial Services Industry Institute is feeling a little more comfortable with regulators. But, on the other hand, the chairman of the FSI also warns that the combining of the NYSE and NASD might create a power struggle among "second-level" regulatory staffers.
Financial Advisor June 2006 Tracey Longo	Is Any Stone Unturned? Is the NASD's regulatory clampdown over? Major changes are in place at the sales force level.
Job Journal October 26, 2008 Carole Kanchier	Career Pros: Interviews Take Many Forms By knowing what to expect during interviews, you can improve your performance.
Registered Rep. September 1, 2005 John Churchill	The Battle at Home In today's competitive environment, it doesn't take long for a soldier/rep's book to fall prey to poachers.
Registered Rep. December 1, 2005 Kevin Burke	A.G. Edwards: Quietly, the Leader of the Pack Building on its strong performance from a year ago, A.G. Edwards lit up the scoreboard this year. Advisors say the St. Louis-based firm has a high-quality work environment, commitment to clients and freedom from pushing certain products.
Registered Rep. April 28, 2005 John Churchill	NASD Sends Older Reps Back to the Classroom All registered reps are required to complete the regulatory sections of the NASD's continuing education curriculum. According to the Securities Industry/Regulatory Council on Continuing Education, there are currently 109,000 exempted reps that will now have to take the test.
Job Journal August 19, 2007 Penelope Trunk	Brazen Careerist: Things I Shouldn't Have Said Even career columnists can blow a job interview.
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. October 25, 2006 Halah Touryalai	Another One Bites the Dust: Broker Fined Record Amount for Market-Timing Scheme The NASD fined Paul Saunders, a registered rep, CEO and majority owner of James River Capital Corporation, $2.25 million. That sum represents the largest fine against an individual for marketing timing, including disgorgement of about $750,000 in illegal profits.
Registered Rep. September 1, 2005 Greg Bailey	The Real Arbitration Nightmare NASD member firms frequently wield far too much influence in arbitration proceedings, and this situation could end up undermining client confidence in the industry if it persists.
Entrepreneur November 2004 Kimberly L. McCall	Share the Wealth If you've got one superstar handling all your top accounts, it's time to redistribute the work and the risk.
Registered Rep. May 1, 2005 Bill Singer	Can Anyone Get This Write? The NASD and the NYSE need to get together and compare scorecards when doling out justice to industry evil doers.
Registered Rep. September 1, 2004 Anne Field	The Weight of Words It's a paradox confronting brokers all over the country: In a business climate that calls for ever-increasing advisor-client intimacy, financial professionals are measuring their words more carefully than ever.