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U.S. Banker November 2009 Steve Garmhausen	Fulton Financial's Recipe for Recovery The bank s sagging brokerage unit reversed its fortunes when it ditched the commissions and switched to a fee-based model. Then it brought in a rainmaker.
The Motley Fool November 14, 2006 Dan Caplinger	Banker, Broker, or Both? Be careful to figure out which hat your bank's employee is wearing. The key to dealing with bank-based brokers is to know exactly what you're being offered at all times.
Registered Rep. February 1, 2003 David A. Gaffen	An Employer's Market It's a hirer's market out there, but brokerage firms have not stopped recruiting. In fact, although it is quieter than usual, many firms are still willing to pony up big bucks in hopes of attracting top-shelf talent.
Registered Rep. October 17, 2011 Kristen French	Wells Fargo Wealth/Brokerage Client Assets Decline; Asset-Based Revenue Up Wells Fargo's wealth brokerage and retirement businesses reported third quarter income of $291 million, up 14 percent versus the year ago quarter, while revenue for the division was down 1 percent from the year ago quarter.
Registered Rep. October 5, 2009 Kristen French	Citi Bank Brokerage Converts To All Fees Citigroup announced that it would convert its small North American bank brokerage business completely to a fee-on-assets-based fiduciary advice system, and would stop collecting commissions on stock and fund sales.
The Motley Fool November 22, 2006	Is Your Brokerage Insured? Investors looking for brokers should do a little research on insurance first.
BusinessWeek April 11, 2005 Toddi Gutner	Broker Or Adviser? Be forewarned: If yours is employed by a brokerage, your interests come second
Financial Planning June 1, 2007 Bob Veres	Victory, for Now Brokerage firms have little choice but to adapt to a world in which their traditional service -- clearing trades and executing transactions -- has become "solely incidental" to the increasingly valuable business of providing advice.
Registered Rep. March 1, 2005 Steve Watkins	Money in the Bank Bank-owned brokerage companies have awakened to the changes they need to make to attract top-shelf talent, and brokers are taking notice.
Registered Rep. December 1, 2005 Kristen French	Where's My Money? After California brokers won $37 million in an overtime lawsuit against Merrill Lynch in August, a slew of copycat lawsuits have been filed against other brokerage firms, many of them in New York.
Financial Planning March 1, 2011 Bob Veres	Gold Into Straw In mid-January, the SEC released its "Study on Investment Advisers and Broker-Dealers" to Congress. Analyzing the study provides an insightful look into how the SEC views the "harmonization" of two different regulatory structures.
Financial Planning May 1, 2006 Bob Veres	False Fiduciaries The so-called resolution of the SEC's "Merrill Lynch rule" does nothing to keep brokers from providing financial advice without assuming legal responsibility.
The Motley Fool March 5, 2007 Selena Maranjian	Is Your Brokerage Insured? Brokerage firms are required to become members of the Securities Investor Protection Corporation. Is yours insured?
The Motley Fool October 4, 2006 Selena Maranjian	Is Your IRA Insured? Should you worry about insufficient SIPC insurance?
The Motley Fool December 11, 2007 Selena Maranjian	Brokerages and Your Cost Basis Does your brokerage track your cost basis for you? Should it?
Registered Rep. April 1, 2010 Halah Touryalai	Citi's Covert Makeover It's a major shift in business for an entire unit to leap in the fee-only RIA world.
Registered Rep. December 11, 2002 Rick Weinberg	PaineWebber Cuts Bonuses, Expense Accounts Brokers at UBS PaineWebber received a double hit of bad news this week in this tough time for brokerages. Not only were they informed that the bonuses they receive for bringing in new assets were being cut, but expense accounts are being trimmed as well.
The Motley Fool August 21, 2007 Selena Maranjian	Find the Best Broker Looking for an inexpensive brokerage that reinvests dividends? Here is some help.
U.S. Banker April 2010 Steve Garmhausen	A New Standard for Bank Brokers? A bill mandating that brokerages adhere to a fiduciary standard would mean more disclosures, more work for bank compliance departments and more training.
Financial Planning July 1, 2006 Marshall Eckblad	Chalk One Up for RIAs According to a recent survey, a majority of investors believe stockbrokers and investment advisers owe the same fiduciary responsibilities to their clients.
The Motley Fool March 7, 2006	Brokerage Account Insurance Investors, don't count on SIPC insurance if your stocks plunge.
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.
Registered Rep. October 1, 2005 Christopher O'Leary	It's in the Bank Wirehouse veterans who have switched to bank brokerages say Wall Street's perception of bank brokerages is stuck in the past, and that the best bank brokerages have become much more competitive in terms of production, assets and compensation.
On Wall Street March 1, 2010 Bill Willis	The Financial Supermarket Is Back In Style This is a strategy whose time has come, and the outlook for a one-stop shop appears bright.
Financial Planning September 1, 2011 Donna Mitchell	Happy Mediums Online brokerage giants are taking market share from almost every segment of the financial advisory business - except for RIAs.
Registered Rep. November 8, 2006 Kevin Burke	Fat Bonuses on Wall Street Don't Extend to FAs If you work on Wall Street, chances are you stand to make a killing in bonus pay this year -- unless, that is, you're a broker or a financial advisor.
Wall Street & Technology April 26, 2007	Online Brokerage Customers Can Be Fickle More Than 20 Percent of Online Brokerage Users Are Considering Changing Brokers Online brokerage tools play a significant factor in retaining existing clients, a new report notes.
Financial Planning August 1, 2009 Bob Veres	A Swiftly Tilting Planet How will brokers and financial advisors fare in the government's battle to regulate the securities industry?
Financial Planning May 1, 2011 Bob Veres	To the World of 2020 I'm writing this column to help you address the issue on the minds of investors and consumers everywhere in your future day and age: How can we finally fix the regulatory system after the latest traumatic events shook the markets to their core?
The Motley Fool June 15, 2007 Selena Maranjian	Brokerages Want You to Know ... Get the latest scoop from brokerages and choose the best.
The Motley Fool February 28, 2006 Selena Maranjian	Brokerages Misbehaving The SEC has gotten an earful about brokerages upsetting customers. Investors, the more you know about the stock market and how brokerages and brokers work, the better off you'll likely be.
Registered Rep. May 1, 2007	The Great Reckoning Whatever the specific business impact the Merrill Lynch ruling may have, many see the return to pre-1999 rules as a chance for the brokerage industry, which has long avoided fiduciary duty for business and regulatory reasons, to overcome those obstacles and embrace it.
The Motley Fool March 17, 2008 Rick Aristotle Munarriz	You're Wrong About This Call, Mr. Market Downgrades of TD AMERITRADE and Charles Schwab may lead to good sales on these discount brokers.
U.S. Banker May 2009 Steve Garmhausen	Major Shift: Wirehouse Veterans Eye Bank Brokerages A two-decade veteran of Dean Witter, Smith Barney, and UBS Financial Services, John Noble now runs the brokerage arm of a modest-size commercial bank.
Registered Rep. November 11, 2010 Kristen French	Sources: New SEC Rules Won't Kill Upfront Bonuses New rules governing broker recruiting bonuses? The idea, floated by Mary Schapiro on Monday, met with skepticism this week from securities industry attorneys, compensation experts and recruiters.
BusinessWeek July 1, 2010 Michael J. Moore	Firms Are Luring Bankers with Bonus Guarantees Fading worries about financial reform legislation may reinforce banks' efforts to snare top talent with generous pay offers.
Registered Rep. January 7, 2011 Kristen French	Will the SEC Curtail Recruiting Bonuses? With brokerage revenues getting squeezed and regulators sniffing around compensation issues and potential conflicts of interest, it's possible that 2011 could bring some changes to broker comp plans.
Commercial Investment Real Estate Mar/Apr 2004 Roxanna Guilford-Blake	Star Search Some commercial real estate companies have the magic touch: They attract and retain the best and brightest brokers. Others aren't so fortunate.
The Motley Fool July 13, 2004	Finding the Best Brokerage There might be a cheaper, better brokerage than the one you're using.
Financial Advisor May 2006 Andrew Gluck	New Rule Causes Software Schizophrenia New financial software programs for advisors reflect the difference between fiduciary and suitability requirements.
CFO October 1, 2010 Scott Leibs	Vault Lines CFOs want to alter their relationships with their banks -- and are willing to alter who their bankers are in order to make that happen.
Registered Rep. July 1, 2004 Will Leitch	The Quick and the Dead Bank of America, which inherited Quick as part of its acquisition of FleetBoston in October 2003, announced it is folding the discount brokerage into its Banc of America Securities unit.
Financial Planning June 1, 2011 Bob Veres	Things I Just Don't Understand Is there any profession, anywhere, that's raised its own standards voluntarily, identified and reduced its own conflicts of interest voluntarily and lobbied harder on behalf of consumer protections than the financial planning profession over the past 30 years?
Registered Rep. November 5, 2012 David T. Berman	Bank Branch Secrets A former bank-affiliated financial advisor dishes on the pros and cons of working in a bank.
Inc. June 1, 2000 Jill Andresky Fraser	Company for Sale by Owner -- or Maybe Not Business 101: Who should sell your company? You? A business broker? An investment banker? How to make the call...
The Motley Fool September 27, 2010 Dan Caplinger	Rich or Not, You Should Do This Discount brokers are great even if you have the money.
The Motley Fool September 30, 2004	Is Your Brokerage Insured? Don't take big chances with your money -- look for SIPC protection.
Registered Rep. February 1, 2010 Kristen French	Most Brokers Think Uniform Fiduciary Standard Unlikely Yet most of them also thought it would do good.
Registered Rep. February 3, 2010 Kristen French	Merrill Plans Trainee Hiring Spree Bank of America plans to rebuild its brokerage force in 2010 by adding rookie advisors rather than competing for talent in the industry's expensive recruiting war.
The Motley Fool December 28, 2004 Dayana Yochim	Wall Street's Bummer Bonuses Streeters are getting a little less than they did in the past, but this year bankers and brokers and other money pros will fare just fine. Bonus payouts will rise 10% to 15% over last year's incentive awards, thanks to a strong first half of the year.