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The competition ramps up

March 10, 2003

Despite heatedly denying that it will compete with its independent advisers, TD Waterhouse Group Inc. is seeking to hire stockbrokers with big books of business to staff a "full-service division." The New York-based firm posted advertisements...

Wall Streeters slammed for poaching

March 10, 2003

After losing about two dozen brokers to poaching by the big boys on Wall Street, David Lerner had no interest in settling claims. "I reached a point where I felt I had to protect my business," says Mr. Lerner, who heads David Lerner Associates...

Moving Up

March 3, 2003

* PricewaterhouseCoopers LLP of New York has promoted Martin J. Jennings, 43, to managing partner with its investment management industry group, from risk management partner. Mr. Jennings replaces Philip P. Mannino, who will retire in June after...

Boutique analysts rise from scandals' ashes

February 17, 2003

Conflict-of-interest scandals embroiling Wall Street analysts and widespread industry layoffs are spawning a cottage industry of independent-research boutiques, according to experts. "These things are popping up like mushrooms," says James Wilbur,...

Moving Up

February 3, 2003

* The Financial Planning Standards Board, a new international body being set up to oversee the global certified financial planner qualification, has named John S. Carpenter chairman and Noel Maye chief executive officer. Mr. Carpenter, 49, a...

[E-K] InvestmentNews directory of broker-dealer companies

January 27, 2003

Equity Services Inc. One National Life Drive Montpelier, VT 05604 (800) 344-7437 equity-services.com Chief executive: Kenneth Ehinger Recruiting contact: Tammy King Financial data: Excess net capital $370,000 Fiscal year Latest Previous ($M)...

Closing Quotes

January 20, 2003

InvestmentNews has seen a lot of changes in the five years since its launch as a weekly newspaper. The following list spans two presidential administrations, one bull market, one bear market and a number of corporate scandals. Along the way,...

Moving Up

September 30, 2002

* New York Life Insurance Co. has named Frederick J. Sievert, 54, its president. Mr. Sievert is also a member of the executive management committee, which is responsible for establishing management policy throughout the company. Mr. Sievert...

New ads are bullish despite a bear market

September 30, 2002

Staking out its position as a leader in the bear market, Merrill Lynch & Co. Inc. last month ran an aggressive eight-page ad spread in The Wall Street Journal, The New York Times and other business publications. The insert, which opened with...

Moving Up

September 16, 2002

* CRA RogersCasey, an investment consulting firm in Darien, Conn., has appointed Alan H. Dorsey, 41, managing director of hedge fund research, a new position. He will be responsible for directing hedge fund and hedge-fund-of-fund research efforts...

For families of N.Y.C. victims, the struggle is just starting

September 9, 2002

A year has passed since the terrible events of Sept. 11, yet families of the World Trade Center victims in New York are just beginning to struggle with complex financial planning decisions. Last month, the federal government announced the first...

Moving Up

August 5, 2002

* AIG SunAmerica Inc. of Los Angeles has promoted Lisa S. Kubica to executive vice president and chief operations officer of three broker-dealers in the AIG SunAmerica Financial Network Inc.: SunAmerica Securities Inc. of Phoenix, and Sentra...

Independents bulk up as the wirehouses try to slim down

July 29, 2002

While the wirehouses pare their staffs, two leading independent broker-dealers are focused on building their networks of representatives. At Raymond James Financial Services Inc., the Atlanta-based independent-broker-dealer unit of Raymond James...

Moving Up

July 22, 2002

* Citizens Advisers Inc. of Portsmouth, N.H., has formed a five-member operating committee to replace departing president and CEO John L. Shields. The members of the new committee are: Robert M. Gunville, 40, senior vice president and chief...

Moving Up

July 15, 2002

* Placemark Investments Inc., an investment management service provider in Wellesley, Mass., has appointed Robert P. Mazzarella to its board of directors. Mr. Mazzarella, 56, spent 18 years at Boston's Fidelity Investments, most recently as...

Hand-holding prowess a matter of opinion

July 1, 2002

Stockbrokers and other advisers think they have been doing a good job of holding clients' hands since Sept. 11. But their clients often think otherwise. That's a key finding of both a recent study of top broker-dealers and a separate survey...

Moving Up

July 1, 2002

* Charles Schwab Corp. in San Francisco has appointed Jody Bilney, 40, executive vice president and chief marketing officer. Ms. Bilney, who held a similar position with Verizon Communications Inc. in New York, will be a member of the executive...

A dream deferred, but not to be denied

June 24, 2002

Mark Sutton had a dream - until the nightmare of Sept. 11, seemingly unending Wall Street scandals and the sour economy intervened. "In the 24 years I've been in this business, public trust and confidence, without a doubt, is lower than it's...

Lincoln making partners of competitors

June 17, 2002

With myriad products at the disposal of financial advisers, the million-dollar question is how to get their attention. Lincoln Financial Group in Philadelphia believes the name of the game may be partly "Who Wants to Be a Millionaire" and partly...

Multistrategy model a springboard for separates?

June 3, 2002

More companies continue to ride the multiple-strategy wave as separately managed accounts try to close their considerable gap with mutual funds. Late last month, Jennison Associates LLC, a New York-based unit of Prudential Financial Inc., became...

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