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On Wall Street October 1, 2010 Chris Kentouris	Finra Wants More Details When Someone Gets Canned Advisors, take note: FINRA wants broker-dealers to provide more detail on the reasons for dismissing an employee in reports to the regulator.
On Wall Street October 1, 2012 Lorie Konish	Settlement May Not End Merrill Lynch's Deferred Compensation Woes Exemptions and the chance to opt out have lawyers predicting the $40 million proposed deferred compensation plan settlement will not cease litigation against Merrill Lynch.
Registered Rep. February 11, 2010 Halah Touryalai	Victory For Broker in Citi Bonus Repayment Case A former Citi broker doesn't have to pay back the full amount owed on his sign-on bonus, a FINRA arbitration panel rules.
Investment Advisor August 2010 Melanie Waddell	Advice to the SEC When it comes to the fiduciary standard, Capital Analysts President and CEO Matt Lynch says advisors "want to be sure the SEC seeks and gathers input from the industry as to how to implement these important changes."
On Wall Street October 1, 2009 Judith Schoolman	Five Questions with Brian Smiley Brian Smiley is president of the PIABA, which promotes the interests of investors involved in arbitration disputes against brokerage firms. In this short interview he speaks about his group's goals and why he's been so busy.
Registered Rep. August 1, 2006 Gary Weiss	Institutionalized Unfairness Here the author of Wall Street Versus America discusses how the mandatory arbitration of customer disputes must be made to go away. And not just because it hurts financial advisory customers. It hurts the financial advisor equally.
Financial Advisor June 2007 Sherri Scordo	Indepedent Broker-Dealers/Financial Advisor's 2007 Snapshot of Leading Firms Advantage Capital Corporation... AIG Financial Advisors... American General Securities, Inc... etc.
Registered Rep. April 20, 2015 Mindy Diamond	An Advisor's Guide to Surviving Termination So what do you do to protect yourself?
On Wall Street April 1, 2010 Howard J. Stock	Back Office Move Has Advisors Up In Arms -- Some Bolt Questions surround what will happen to BAI clients when Merrill moves their accounts from National Financial to Merrill Lynch.
Registered Rep. August 29, 2012 Jerry Gleeson	Devil Take the Hindmost The headlines in the media note that advisor headcount was down 2.3 percent overall in 2011. But it was the independent broker/dealer market that accounted for the biggest hit in the numbers.
Registered Rep. May 26, 2006 Halah Touryalai	NYSE Cautions Investors on Following Brokers to New Firms The release is part of the "Informed Investor" series developed by the NYSE Regulation to better educate investors. The announcement comes at a time when more reps are choosing to switch firms than at any time since 2002.
Registered Rep. January 27, 2012 Kristen French	Due Diligence: FINRA's Merrill Fine is a Tap on the Wrist This week, FINRA fined Merrill Lynch $1 million for making it hard for former brokers of the firm to fight back in bonus disputes.
Financial Advisor December 2003 Grove & Prince	The Financial Life Of Senior Executives Who do America's top executives favor as their primary financial advisor and how did they find that advisor?
Registered Rep. September 4, 2013 David Armstrong	Editor's Letter: September 2013 Most advisors decide to move not because they are wooed to greener pastures, but because pain points inside their current environment have become too great.
On Wall Street April 1, 2011 Lorie Konish	U.S. Trust Defends Garden Policy, Codifies Processes Bank of America Corp. gave its U.S. Trust advisors notice in February that they were subject to "garden leave restrictions" if they left, sending shock waves through the industry.
Registered Rep. May 1, 2006 Anne Field	Staying On Top of It While the market is reaching levels not seen in years, financial advisors have much to be wary about given the steady drumbeat of corporate scandals and complaints.
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.
Financial Advisor July 2009 Sherri Scordo	Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors.
On Wall Street September 1, 2010 Alan J. Foxman	Ponzi Schemes And Problems Paying Fines Q&A: What does it mean for advisors that records are now available to the general public online?... How will arbitration payments I must make but cannot afford right now affect my license?... more...
The Motley Fool May 11, 2011 Selena Maranjian	Sneak a Peek at Your Broker's Record Find out whether your broker has been in trouble.
On Wall Street November 1, 2012 Bill Willis	What to Do After You're Fired Steps you should take if you are terminated.
Investment Advisor October 2005 Melanie Waddell	The Playing Field: Welcome to the Family Becoming a wealth manager is not quite as easy as it looks. But the mid-tier millionaires are underserved, so honing skills and capturing some of them as clients should be on every financial adviser's list.
Investment Advisor April 2009	B/D Briefing: News & Products The latest from the broker/dealer world.
On Wall Street November 1, 2009 Thomas Lewis	It's Payback Time on Promissory Notes Firms have been fighting back against defecting advisors. Increasingly one of the most effective weapons in their arsenal is the enforcement of promissory notes.
Investment Advisor January 2006 Melanie Waddell	The Playing Field: Banking on Wealth Management The oldest baby boomers hit 60 next year, so now is as good a time as any to assess whether you're truly providing the wealth management services that your existing clients, and prospective ones, need. Help from a broker/dealer, consultant, or a colleague is well within your reach.
Investment Advisor March 2007 James J. Green	Silver Lining Despite the silver lining benefits, the financial advisor community can't just react to regulators and legislators. It must be proactive.
Investment Advisor August 2010 Melanie Waddell	Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas.
On Wall Street September 1, 2008 Alden Cass	Be Captain of Your Destiny In the current cruel and harsh market environment, many advisors can freeze up and feel as if they are losing control over their performance at work.
Registered Rep. July 30, 2009 Christina Mucciolo	Financial Advisor To The Mafia? Do any of your clients have a connection to the Mafia? One lawyer specializing in securities law says he represents a financial advisor who was threatened by someone claiming to have family in the Mob.
Registered Rep. June 14, 2012 Mindy Diamond	Broker Protocol Booming As firm-switching among brokers rose to record levels over the past four years, the number of signatories exploded, growing almost 40 fold. Many of the new signatories are RIAs.
Financial Advisor June 2011 Bruce W. Fraser	Rebuilding Trust - Part 2 Six leaders in the wealth management continue their discussion of the advisory industry and how new rules and regulations will impact it.
Financial Advisor June 2005 Grove & Prince	Preserving Client Relationships In Down Markets What should financial advisors do when the stock market tanks? Communicate early and often to keep clients happy.
Registered Rep. January 8, 2009	Motion To Dismiss In Arbitration? Not So Fast. Firms and advisors facing disputes in arbitration will have a tougher time getting the case dismissed thanks to a new dispute resolution rule, FINRA announced today.
On Wall Street June 1, 2010 Mark Astarita	Tilting the Litigation Landscape Against the Financial Industry Current reform proposals could radically alter the broker-client relationship.
Investment Advisor February 2010 Lewis Schiff	The Affluentialist: Trends in Client Communication The pressure for greater efficiency and convenience is propelling advisors to try new means of communication. Not surprisingly, most new channels appear with new technologies or updated applications of old techniques.
On Wall Street September 1, 2010 Mark Astarita	Denying Advisors A Legal Forum As part of the Dodd-Frank Wall Street Reform Act, Congress has given the SEC the authority to prohibit or impose conditions upon the use of pre-dispute arbitration agreements by brokerage firms and federally registered investment advisors.
Registered Rep. June 4, 2012 Lauren Barack	The Fishbowl Effect As financial advisor ratings websites like BrightScope and Advice IQ proliferate, advisors are going to have to get comfortable with having their records a click away from clients and prospects.
Registered Rep. December 1, 2015 Diana Britton	Old-Fashioned Exams Financial advisor exams vary in their requirements, but for any individual looking to work in a brokerage firm or sell investments, the Series 7 exam is the mandatory gateway.
Registered Rep. March 2, 2010	Check Out RegisteredRep.com's Newly Revamped Advisor Forums Want to "socialize" with other financial advisors? Discuss how to sell your book? Have a question about marketing yourself to high-net-worth investors? These and many more topics are being discussed right now on RegisteredRep.com's Advisor Forums.
Registered Rep. May 25, 2005 John Churchill	Millions to Choose From Advisors gunning for millionaire clients now have more prospects to choose from -- and a blueprint for what they're looking for -- according to a new survey which says that 1.3 million new American households became millionaires in 2004.
Registered Rep. June 4, 2009 John Churchill	Merrill Lynch's Dan Sontag Out? Salaried Merrill Brokers? Not so Fast According to a story posted yesterday on Clusterstock.com, a financial blog, Dan Sontag, head of Merrill Lynch's global wealth and investment management unit, is about to be pink-slipped.
On Wall Street October 1, 2008 Frances A. McMorris	Proving Your Worth in Today's Tough Markets As we head into the final months of the year, volatility in the markets remains unchecked. Now is the time for advisors to prove their worth to their clients.
Investment Advisor March 2007 Melanie Waddell	States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority.
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
Financial Advisor October 2005 Grove & Prince	Understanding The Middle-Class Millionaire Middle-class millionaires are the "ideal clients" for most financial advisors. They are wealthy enough to require the services of high-quality financial advisors, yet not so wealthy that most financial advisors end up in over their heads.
On Wall Street July 1, 2009 Helen Kearney	The 'F' Word Stirs Up Controversy Advisors who fall under the new fiduciary standard, namely investment advisors who run a fee-based business, must always put clients' interests before of their own.
Registered Rep. November 1, 2004 Will Leitch	The Advisor as Traffic Cop As high-net-worth investors spread their assets around more liberally, they are finding themselves in need of a traffic cop -- a central advisor who can sit in the middle of all the financial activity and make sense of it all.
On Wall Street October 1, 2013	Five Questions with A. Heath Abshure A. Heath Abshure, the outgoing president of the North American Securities Administrators Association discusses his tenure.
Financial Advisor November 2012 Mary Rowland	Tough Test An entrepreneur evaluates advisors for the wealthy. These families now have a "search firm" to perform due diligence on advisors and help the families find exactly the right one.
Financial Advisor March 2006 Nancy Lininger	Letters to the Editor The New Advisory-World Order: Commissioned reps have lost clients over the years to discount brokers, day traders and now, the divine fee-only advisor. Firms embracing fees and commissions, and offering the most services and compensation options, will be reborn.