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Registered Rep.
October 8, 2008 |
Bank of America Reaches Second Settlement To Buy Back ARS The agreement closely mirrors the firm's earlier settlement with the Massachusetts Securities Division that was announced in September, 2008.   |
Investment Advisor
January 2010
James J. Green |
BAIS Moves Reps to Merrill Banc of America Investment Services (BAIS), Inc., transitioned its registered representatives to Merrill Lynch, and then requested that FINRA withdraw BAIS's broker/dealer registration. |
Registered Rep.
September 17, 2008
Geracioti & Touryalai |
Morgan And Wachovia? The need for the kind of capital offered by customer deposits apparently is driving securities firms into the arms of banks. |
Registered Rep.
June 3, 2009
David Geracioti |
ARS Games -- SEC Blames Firms, Settles with BAC, RBC and DEUTSCHE When the auction rate securities market froze up in February 2008, angry clients blamed their financial advisors. |
Registered Rep.
November 8, 2011
Jerry Gleeson |
Auction Rate Revenge For tens of thousands of investors who were trapped in the auction rate securities debacle that started in 2008, finances are getting back to normal. |
Registered Rep.
April 1, 2005 |
By the Numbers CEO Pay Score Card: Merrill Lynch, Stanley O'Neal - $32 million... Goldman Sachs, Henry Paulson - $29.8 million... etc. |
The Motley Fool
June 21, 2006
Stephen D. Simpson |
Morgan Stanley's Mighty Swing The investment bank knocks results out of the park. Can it last? Investors, take note. |
Registered Rep.
May 1, 2005
Will Leitch |
So They've Got That Going for Them...Which Is Nice For all the problems it's been having in the last several months, Morgan Stanley can hang its hat on this good news: It is now the largest securities firm in the country. |
Registered Rep.
May 1, 2005 |
Comings & Goings Roland Pritchett, one of Morgan Stanley's top producers... H&R Block Financial Advisors has added two more names... Ned Kennedy left Banc of America Securities... Lincoln Financial Distributors has hired two new divisional sales managers... etc. |
Registered Rep.
February 8, 2004
Will Leitch |
IT Spending Expected To Rise in 2004 A new study asserts that Wall St. firms are ready to address one of reps' most common complaints in recent years: the lack of resources devoted to internal infrastructure, especially technology. |
Investment Advisor
December 2007 |
News & Products, December 2007 FINRA fined Oppenheimer Co., Inc. $1 million... Compliance officers at broker/dealer firms will have a chance to discuss new and changing regulations... Christine Nigro has been promoted to president of AXA Advisors, LLC... etc. |
Registered Rep.
September 10, 2008 |
Bank of America to Buy Its ARs Back The nation's second-largest bank by assets settled an investigation by Massachusetts regulators, agreeing to buy back $4.5 billion worth of the securities. |
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? |
Investment Advisor
December 2006
Kara Stapleton |
News & Products Goldman Sachs and Lehman Brothers won Diversity Leadership Awards... The SEC announced that three subsidiaries of Hartford Financial Services Group, Inc... etc. |
Investment Advisor
August 2008 |
B/D News & Products Pali Capital, Inc. announced that Joseph Schenk has joined the firm as COO... Fidelity Investments named Daniel Petrozzo as CIO... LPL Financial Corporation has appointed Brad Cornell as senior VP of sponsor relations... etc. |
Registered Rep.
June 1, 2004 |
Comings & Goings David Harris moved to UBS Securities from Smith Barney... UBS Securities lost a broker to upstart wealth manager Mercury Wealth Management... Carol Rogers recently moved to Linsco/Private Ledger from Wachovia Securities' FINet system... etc. |
Investment Advisor
January 2008 |
Changes National Financial Partners named Daniel Young president and COO of NFP Securities, Inc., NFP's broker/dealer... The Securities and Exchange Commission named John Loesch deputy director of the agency's Office of Investor Education and Advocacy... etc. |
The Motley Fool
October 16, 2006
Dumortier & Khattab |
Investment Banks Under the Microscope Investors, which Wall Street firms make the grade? Goldman Sachs... Lehman Brothers... Bear Stearns... Morgan Stanley... Merrill Lynch... etc. |
Registered Rep.
May 9, 2007
Christina Mucciolo |
Morgan Stanley to pay $7.96 Million for Best Execution Fraud The SEC announced that Morgan Stanley will pay penalties to settle the charges against the firm for failing to provide best execution to clients. |
Registered Rep.
June 2, 2004
Will Leitch |
SEC Passes Breakpoint Amendment---With an `Ethics' Twist The Securities and Exchange Commission has issued its long-awaited amendments on breakpoints (sales-charge discounts on mutual funds), and the end result of months of deliberations surprised no one. |
Registered Rep.
August 1, 2004 |
Comings & Goings Sam Vetas, one of Morgan Stanley's top producers has moved... Joe Biondo Sr. recently went independent from Smith Barney... Former Registered Rep. columnist Harry Pappas has switched firms... etc. |
Investment Advisor
August 2009 |
B/D News Broker/Dealer news: SEC Enforcement... BOA and broker protocol... FINRA surveys retail sales practices... |
Registered Rep.
March 1, 2008 |
Capital Hill Contributions Shifts in Wall Street's campaign contributions. |
The Motley Fool
November 11, 2011
John Reeves |
Banks Promise Not to Commit Fraud ... Until Next Time Banks have been signing pledges that they do not follow through on. |
Registered Rep.
February 1, 2005 |
By the Numbers Top 10 Broker/Dealers, by Advisor Headcount: Merrill Lynch... Wachovia... Smith Barney... Morgan Stanley... etc. |
Registered Rep.
March 3, 2006
Halah Tourylai |
Third Wirehouse Coughs Up Millions In Overtime Cases Yesterday, Morgan Stanley became the third wirehouse, after Merrill Lynch and UBS, to settle class action suits with California brokers over overtime pay in the past seven months -- the second in three weeks. |
The Motley Fool
December 20, 2005
Stephen D. Simpson |
Will Morgan Stanley Come Back? Investors who thought that the return of John Mack to Morgan Stanley would mean instant and glorious change might be feeling a bit disappointed about now. |
Wall Street & Technology
May 19, 2008
Ivy Schmerken |
A Freeze in Auction-Rate Securities Opens a Door for the Restricted Securities Trading Network In the wake of the credit crisis, Restricted Stock Partners' Restricted Securities Trading Network, which was designed to trade restricted stocks, is rescuing investors trapped in auction-rate securities. |
Registered Rep.
July 1, 2005
Kristen French |
Apres Purcell--Le Spinoff? Now that Morgan Stanley's CEO has given up, the future of the old Dean Witter organization is in question. Morgan Stanley remains under pressure to improve profitability and its stock price. |
Registered Rep.
March 1, 2006 |
Comings & Goings Amy Butte resigned as CFO and executive vice president of the New York Stock Exchange... Wachovia Corporation's Chief Financial Officer Bob Kelly said he is stepping down... etc. |
Investment Advisor
August 2010
Janet P. Levaux |
Reform's Impact on Advisors, Broker/Dealers, and Banks "This is a tough law that will also have profound effects on the operations and cost structure of most financial services companies and financial markets," said Securities Industry and Financial Markets Association president and CEO Tim Ryan in a statement on June 25. |
Registered Rep.
May 1, 2005
Glenn Curtis |
The Purcell Discount Hovering at a recent $51.73 --- down from its all-time highs of $110 a share --- are Morgan Stanley common shares a buy? |
Registered Rep.
February 2, 2006
Kristen French |
Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest. |
CFO
July 15, 2009
Vincent Ryan |
Buyer's Remorse Treasury departments are still paying a price for auction-rate securities. |
Registered Rep.
January 1, 2005 |
Comings & Goings Merrill Lynch has hired Michael O'Keefe... Tom Matthews, president and CEO of Smith Barney's global private client group, has retired... Oppenheimer continues to hire brokers... etc. |
Registered Rep.
April 1, 2006 |
Comings & Goings ING has named Catherine Bonneau chief operating officer of its independent broker/dealer... Robert Finn has joined Piper Jaffray as an advisor... Philip Horn and Mark Lindee, each with $125 million in client assets, have recently joined Wachovia... etc. |
Registered Rep.
February 15, 2012
Diana Britton |
More Advisors Fleeing Morgan Keegan Morgan Keegan has lost seven financial advisors since December, FINRA filings show. They follow some 190 other advisors who fled over the past six months. |
The Motley Fool
June 20, 2007
Ryan Fuhrmann |
Morgan Stanley Still Shining The brokerage house is riding high, with no signs of a slowdown. In less than two years, John Mack has turned Morgan from a chronic underperformer to the toast of Wall Street. |
Registered Rep.
September 17, 2008
John Churchill |
Morgan Stanley Earnings Up, Stock Down; Wealth Management Unit Raking In Assets And Advisors Morgan Stanley, perhaps in an effort to quell investor fears that it was on similarly shaky ground as Lehman Brothers, pre-announced its third-quarter earnings yesterday, surprising analysts with census beating results. |
Registered Rep.
April 8, 2004
Joan Warner |
Trouble In The House That Purcell Built? After suffering through a cruel bear market, Morgan Stanley has come under regulatory scrutiny and legal fire for practices in several key businesses in the past two years, including mutual fund sales. |
Investment Advisor
October 2008 |
News & Products, October 2008 The SEC announces an enforcement action against LPL Financial Corp... ING Advisors Network announced a reorganization... Ameriprise Financial has signed an agreement to acquire H&R Block Financial Advisors... etc. |
Bank Systems & Technology
February 3, 2009
Maria Bruno-Britz |
J.P. Morgan Chosen as Custodian in Fed's MBS Program The goal of the program is to provide support to mortgage and housing markets and to foster improved conditions in financial markets more generally. |
Registered Rep.
September 1, 2004
David A. Gaffen |
Parting is Such Sweet Sorrow You won't have to steal client addresses and phone numbers any more when switching firms --- that is, if you work for Merrill Lynch, Smith Barney or UBS Securities. |
Bank Systems & Technology
October 14, 2008
Orla O'Sullivan |
Tabb Names Banks Goldman, Morgan Are Likely To Purchase Bank of New York Mellon, State Street and Northern Trust are all likely acquisition candidates for Goldman Sachs and Morgan Stanley as the two former investment banks begin operating under commercial bank charters. |
The Motley Fool
September 20, 2006
Alex Dumortier |
Morgan Makes It Four of a Kind The investment bank has no trouble keeping pace with its peers. Investors, take note. |
The Motley Fool
March 22, 2007
Ryan Fuhrmann |
Worst to First at Morgan Stanley CEO John Mack has quickly put Morgan Stanley back on the pedestal of highly respected Wall Street firms. How long it stays there is anyone's guess, but now may not be the time for investors to bet against it. |
Registered Rep.
March 1, 2007 |
Gorman Gets It An interview with Morgan Stanley's James Gorman about the improvement in morale at the firm, what it took to get brokers turned around, what he still needs to accomplish and how Morgan is different from the rest of its Wall Street peers. |
Registered Rep.
May 1, 2008
David Geracioti |
The Auction-Rate Mess And You Many retail investors have recently learned the hard way that auction-rate securities aren't as safe as they thought. |
The Motley Fool
March 22, 2006
Stephen D. Simpson |
Morgan Stanley Trades Up The bottom line for investors: in an environment where industrywide valuations are creeping higher, there are better bank ideas out there. |
Registered Rep.
March 1, 2003
David A. Gaffen |
Wach-Pru: Rock Steady, or Not Ready? Wachovia's courtship of Prudential Securities, for months one of the worst kept secrets on the Street, has come to fruition. Is the new organization capable of competing in the elite league it has entered? |
