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Howard Kapiloff

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TRADING COSTS AT ALL-TIME LOW, BUT NOT FOR ADVISERS AND CLIENTS: WHEN IT COMES TO FEES, ‘DON’T ASK, DON’T TELL’

The price war in on-line retail stock trading has financial advisers giving their own trading costs a second…

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STEPS UP MONITORING IN NOD TO SEC: ROYAL TO REVAMP COMPLIANCE, JUST LIKE THE BIG BOYS

A New York broker-dealer subsidiary of SunAmerica Inc., responding to recommendations arising from a settlement with federal regulators,…

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STEPS UP MONITORING IN NOD TO SEC: ROYAL TO REVAMP COMPLIANCE, JUST LIKE THE BIG BOYS

A New York broker-dealer subsidiary of SunAmerica Inc., responding to recommendations arising from a settlement with federal regulators,…

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WALL STREET BROKERS’ FUNDS WERE A TOUGH SELL IN 1997: INDUSTRY’S NET FLOWS ROSE, BUT WIREHOUSES’ SUNK 80%

Big Wall Street brokerages were the wallflowers at 1997’s mutual fund industry ball. While U.S. stock and bond…

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WALL STREET BROKERS’ FUNDS WERE A TOUGH SELL IN 1997: INDUSTRY’S NET FLOWS ROSE, BUT WIREHOUSES’ SUNK 80%

Big Wall Street brokerages were the wallflowers at 1997’s mutual fund industry ball. While U.S. stock and bond…

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DEAL WATCH: AFTER INSURER BUYS YOUR FIRM, ARE YA STILL GLAD AETNA MET YA?: IF COMPANY SELLS LIFE LINE, JUST-BOUGHT BROKERAGE COULD BE LEFT OUT IN COLD

Miles Gordon, the usually garrulous president of Financial Network Investment Corp., is mum these days about the fate…

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DEAL WATCH: AFTER INSURER BUYS YOUR FIRM, ARE YA STILL GLAD AETNA MET YA?: IF COMPANY SELLS LIFE LINE, JUST-BOUGHT BROKERAGE COULD BE LEFT OUT IN COLD

Miles Gordon, the usually garrulous president of Financial Network Investment Corp., is mum these days about the fate…

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MET LIFE UNIT TO GET BROKER, HOPES IT PAYS: NATHAN & LEWIS READIES ITS SALE TO NEW ENGLAND LIFE

New England Life Insurance Co. is in the final stages of acquisition talks with Nathan & Lewis Securities…

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HUNT FOR HEDGE FUNDS MOVING INTO HIGH GEAR: MATCHMAKERS SNIFFING OUT HOT DEALS IN VOLATILE FIELD RIPE FOR CONSOLIDATION

Murat “Hal” Davidson was “flabbergasted” when an investment banker approached him recently about selling $200 million-asset Regan Partners…

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AD CAMPAIGN GETS OFF BIG, WITH A HAND FROM CLINTON: IM&R DEBUTS COMMERCIAL, ANNOUNCES PAYOUT HIKE

One man’s crisis is another’s opportunity. The day that M. Anthony Greene’s firm, Investment Management & Research Inc.,…