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Registered Rep. May 2, 2007 John Churchill	SEC Fines A.G. Edwards for Failure to Supervise Add A.G. Edwards to the long list of firms that have been fined by the SEC for long-ago failures to supervise brokers who deceptively market timed mutual funds.
The Motley Fool September 24, 2004 Nathan Slaughter	A.G. Edwards Misses the Mark The full-service broker reports Q2 earnings just shy of estimates.
BusinessWeek March 22, 2004 Dean Foust in Atlanta	A Rare Win For Wounded Investors A.G. Edwards is settling with a group of P&G retirees featured in a BW report
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.
The Motley Fool September 22, 2005 Stephen D. Simpson	Is A.G. Edwards A-OK? The financial services company doesn't operate like its peers -- and that's a plus for investors.
Registered Rep. April 29, 2005 Kristen French	Raymond James Fined, Drops Fee-Based Brokerage---Will Others Follow? Following the NASD fine of Raymond James for pushing fee-based accounts on the wrong clients, the next question is how the settlement will affect other firms that offer the same accounts, including wirehouse giants Morgan Stanley, Merrill and Smith Barney.
Registered Rep. July 13, 2007 Susan Konig	Post Acquisition, A.G. Edwards BOMs Have Tough Job to Do With the Wachovia purchase of A.G. Edwards, it's not just A.G. Edwards reps (some of whom fear that the AGE corporate culture will change) who are worried. So are acquired firm's branch managers.
Registered Rep. July 1, 2004 Gregg Wirth	It's the Advice, Stupid The NASD's probe definitely has many brokers and branch managers in the industry nervous. They are unsure exactly what regulators are looking for, what constitutes a violation and what, if any, penalties could be levied.
The Motley Fool September 21, 2007 Lawrence A. Rothman	Good Deal, Wachovia! Strong quarterly results from A.G. Edwards reaffirm the wisdom of Wachovia's pending purchase. Investors, take note.
Wall Street & Technology November 29, 2004 Paul Allen	A.G. Edwards' Grand Plan Deal with Thomson Financial could raise costs in the short term, but it's all part of a long-term technology plan to simplify its infrastructure.
Registered Rep. June 1, 2005 Will Leitch	Edwards Weighing How to Settle A.G. Edwards is ready to talk about paying for its transgressions in the sale of Class B and Class C mutual fund shares.
Registered Rep. August 2, 2005 Kristen French	Morgan Stanley Fined $6.1 Million for Fee-Based Brokerage Slip-Ups NASD's investigation showed that from January 2001 through December 2003, Morgan Stanley failed to establish and maintain a supervisory system to review and monitor its fee-based brokerage business.
Registered Rep. November 1, 2006 John Churchill	A.G.E. to Catch a Rep Instead of buying brokers like its peers with offers of big upfront forgivable loans, A.G. Edwards is offering its own reps bonuses for successfully recruiting good reps.
Registered Rep. May 18, 2009 John Churchill	As Wells Fargo Takes Over, Integration at Wachovia and A.G. Edwards Still Faces Hurdles Some financial advisors at what is now the largest retail brokerage firm in the U.S. say the integration of the Wachovia and A.G. Edwards is still incomplete, and leaves much to be desired.
Registered Rep. June 20, 2006 John Churchill	NYSE Chief John Thain Attacks "Excessive" Regulation Speaking at the second annual NYSE Regulation conference in New York, the NYSE Group CEO took on what he called "excessive" regulation as being one of the factors responsible for driving capital-raising activity outside the U.S.
Registered Rep. April 28, 2005 Kristen French	Raymond James Fined, Plans to Drop Fee-Based Brokerage As part of the sanctions imposed by the NASD, if Raymond James doesn't discontinue its fee-based brokerage business, the firm will have to retain an independent consultant to oversee the creation of a supervisory system for the fee-based brokerage business.
On Wall Street January 28, 2010 Lee Conrad	Carrying on a Family Tradition Tad Edwards, son of retired A.G. Edwards CEO Ben Edwards, sets out on his own to recreate his family's financial advising firm.
Registered Rep. April 20, 2009 Christina Mucciolo	Benjamin Edwards Passes Away at 77 Edwards, 77, was the great-grandson of the company's founder, Albert Gallatin Edwards, and led the former regional for 45 years before retiring in 2001 and assuming the title of chairman emeritus.
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. May 31, 2007 Kevin Burke	Wachovia Buys A.G. Edwards for $6.8 Billion, Creating New Rival to Merrill, Smith Barney The deal puts Wachovia among the top three competitors in retail brokerage -- in terms of both assets and advisors -- and retail banking.
Registered Rep. January 10, 2011 Susan Konig	In Tough Year, Unearthing Opportunities For Branch Managers Shifts in the wealth management business could spell opportunity for those managers who are able to reinvent themselves.
Registered Rep. December 14, 2005 David A. Geracioti	NYSE Regulators to Member Firms and Reps: We Are Watching You Broker/dealers had a very strong 2005. But so too did the regulators.
Registered Rep. April 20, 2009 Christina Mucciolo	A.G. Edwards Founder Passes Away at 77 Benjamin Edwards III, former chairman, CEO, and president A.G. Edwards, died Monday after a battle with cancer.
Registered Rep. February 1, 2006	When Industry Routine Offends Your Ethics What does an advisor do when clients at his firm are routinely charged an undisclosed commission on top of fees -- and he suffers for not falling in line?
Investment Advisor June 2007 Melanie Waddell	SEC Won't Appeal Court Ruling The SEC has decided not to appeal the recent ruling which exempted brokers from being subject to regulation as investment advisors in fee-based brokerage accounts, on the basis that the SEC had exceeded its authority under the Investment Advisers Act of 1940.
Registered Rep. October 1, 2002 Rick Weinberg	Morgan Stanley Boosts Pay for Fee Business Morgan Stanley unveiled a new compensation plan for brokers that rewards fee-based business and penalizes transactional business.
Registered Rep. March 1, 2005 Will Leitch	Back to School at A.G. Edwards A.G. Edwards is not the first brokerage firm to encourage its brokers to continue their educations, but the firm has come up with a novel twist: Its continuing education classes now qualify for college credits.
Registered Rep. March 1, 2003 Ross Tucker	Fees? Sigh, Ho Hum Relatively few brokers are increasing their commitment to fee-based advisory practices, even in this everything-to-gain-from-change economic environment.
On Wall Street February 1, 2010 Lee Conrad	Wells Fargo: On the Front Lines of the Culture Wars One of Wells Fargo's task after acquiring Wachovia Securities is integrating advisors from both companies into one sales force and keeping them satisfied.
Registered Rep. May 13, 2003 Will Leitch	A.G. Edwards Ready For Its Close-Up After years of subsisting as a well regarded, lightly publicized regional firm (albeit the largest one), A.G. Edwards is stepping it up a notch. The firm wants to raise its nationwide profile, which is vastly smaller than that of the larger wirehouses.
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.
The Motley Fool December 22, 2005 Stephen D. Simpson	A.G. Edwards: Still Different While A.G. Edwards is a solid play on the seemingly inevitable growth in retirement and investing, current valuations don't make it such an inevitable winner as a stock.
Investment Advisor August 2007 Kara P. Stapleton	News and Products NASD Chairman Mary Schapiro announced July 12 that the new self-regulatory organization... Raymond James advisors Judith McGee, Sheryl Stephens, and Margaret Starner were listed... etc.
Registered Rep. June 15, 2007 Kevin Burke	Wachovia Extends Olive Branch to A.G. Edwards Reps. Will They Accept? Just 15 days after it announced it was buying A.G. Edwards, Wachovia Securities announced its retention package for A.G. Edwards reps.
Registered Rep. May 14, 2007 John Churchill	"Merrill Lynch" Rule Dead, But SEC to Ask for Time The securities industry still hopes that the SEC will somehow come up with a new plan to keep the fee-based brokerage account from coverage by the Investment Advisers Act of 1940, which mandates that to offer financial advice, you have to be a fiduciary.
Registered Rep. March 1, 2003 Sam Jaffe	Coaching in a Storm We spoke to dozens of the best branch office managers, from managers of tiny regional shops to lords of sprawling city offices. Their secret to success doesn't sound all that tough: work hard and pay attention to details.
Registered Rep. January 21, 2005 Will Leitch	A.G. Edwards Offering Courses for College Credit The firm cleared the classes with the American Council on Education, allowing them to help brokers who are interested to work toward undergraduate degrees with elective credits. The firm claims they are the first retail brokerage to offer such a program.
Registered Rep. November 1, 2002 David A. Gaffen	Requiem for the $250K Broker Until recently, brokers were immune to the industry's downsizing, which has included a decimation of the ranks of investment bankers and the elimination of thousands of support positions. Brokers, it was assumed, covered their own costs by generating commissions and fees. Not anymore.
Registered Rep. December 1, 2005	Registered Rep.'s Broker Report Cards How seven of the nation's largest brokerage firms stack up against each other.
Registered Rep. June 27, 2007 John Churchill	Court Okays 120 Days to Move Fee-based Brokerage Accounts Broker-dealers got the breathing room they hoped with regards to complying with the recent court ruling that outlaws fee-based brokerage accounts.
Financial Advisor July 2012 Jeff Schlegel	Benjamin F. Edwards & Co. Forges Own Path Not many four-year-old firms have a legacy stretching back to the Lincoln administration.
Registered Rep. August 30, 2002 Betsy Riley	Reps' Earnings Suffered Double-Digit Loss in 2001 The SIA surveyed 34 member-firms, finding a drop in broker earnings and a move toward fee-based business models.
Registered Rep. December 1, 2002 David A. Gaffen	Manning the Phones When wirehouses and other major brokerages introduced the notion of call centers a couple of years ago, brokers were suspicious. Although they understood the logic behind the move, it was a difficult adjustment. But call centers are here to stay and brokers are learning to live with them.
The Motley Fool June 23, 2005 Stephen D. Simpson	A.G. Edwards Continues to Evolve Efforts to build up the asset-management business should bring greater long-term stability. Though the stock doesn't look like a compelling bargain today, the company is improving itself.
Registered Rep. June 1, 2015 Megan Leonhardt	Compensation Survey 2015: Crunching the Numbers The industry has come a long way in embracing a fee-based business.
Registered Rep. June 28, 2007 Christina Mucciolo	Wachovia Securities to Make New Home in St. Louis Federal Antitrust regulators approved Wachovia Corp.'s acquisition of A.G. Edwards. The deal is expected to close in the fourth quarter, most likely in October.
Financial Advisor February 2008	Frontline News News of interest to the financial advisory industry: Fiduciary Network Buys Stake In Brouwer, Janachowski... Morningstar Names Top Fund Managers... Advisors Gather At Tech Show... State Of The Industry... etc.
The Motley Fool June 12, 2008 Dayana Yochim	Are You Paying Your Pro the Wrong Way? How you pay for financial advice may matter more than how much you pay.
Registered Rep. April 1, 2005 Erin Schulte	A Perilous Position? The duties of branch office managers (BOMs) have morphed from business strategist and rainmaker to compliance cop. The role, once considered a plum job and stepping stone up the corporate ladder, is increasingly being regarded as a risky, thankless task.
The Motley Fool July 19, 2004 Nathan Slaughter	Legg Mason Falls Short The money manager Legg Mason posts strong earnings, but it misses high expectations.