Research Magazine April 2007

Features

  • Solution Providers

    Today's changing financial services industry is faced with a stunning number of new challenges. But clearing firms -- duking it out in their ever-shrinking arena...

  • How Would You Recover From a Disaster?

    Disaster recovery. With 9-11 and Hurricane Katrina now part of our national psyche, it's a term that makes most of us instantly uncomfortable. But, increasingly, disaster...

  • A Bet on the Future

    Imagine your African colleague. Like you, he focuses his best efforts on growing his business with seminars, cold calls, marketing and branding. Just like you,...

News

  • Bringing ETFs to 401(k)s

    In mid-February, National Planning Corporation (NPC) announced the launch of a 401(k) retirement plan program designed to give small and mid-sized companies the ability to...

  • Expense Ratios Creep Up

    According to recent data, expense ratios for exchange-traded funds (excluding Merrill Lynch HOLDRs) edged upward during the middle of the first quarter, while the number...

  • ProShares Introduces Sector ETFs

    The old axiom on Wall Street is that money can be made in any kind of market. To that end, Bethesda, Md.-based ProShare Advisors has...

  • Mid-Cap SPDRs Get Strong Start

    Could this be the year that mid-caps outperform? After lagging in 2006, mid-cap stocks are on the rise. As of mid-February, the Mid-Cap SPDR (Amex:MDY) was...

  • Is Your Portfolio Bilingual?

    Harvard University's rich (and closely watched) endowment continues to capture stellar returns. The $29.2 billion Harvard investment portfolio earned an annualized 10-year performance of 15.2 percent...

  • What's the Real Threat to Wall Street?

    Worries about erosion in Wall Street dominance of global financial markets have been getting a lot of play lately. The Treasury department has been reviewing...

  • Fee-Based Business and Clients's Bests Interests

    In reference to the quotation by [CEG Worldwide Founder] John Bowen [in the February cover story] that the fee-based model is "...the right thing by...

  • Three Big Players Stay Strong in 2006-2007

    The industry's players continue to dominate the charts, with increasing assets and net flows both in 2006 and early 2007. To stay on top, American Funds...

  • IN BRIEF

    Pioneer Investments has named Daniel Keith Kingsbury as the president and CEO of Pioneer Investment Management USA and head of the U.S. division of Milan-based...

  • LPL to Buy Three PacLife BDs and Near the 10,000-FA Mark

    After months of speculation, LPL Financial Services says it has reached a deal to acquire three of Pacific Life Insurance Company's broker-dealers: Mutual Service Corporation,...

  • Morgan Stanley's Latest Ads Push 'FA Buddy' Out, Stress Global Theme

    The new pitch at Morgan Stanley is "world wise." The '07 ad campaign, launched February 21, is a sharp contrast to a previous pitch that highlighted...

  • 14 Charged with Insider Trading

    The titans of Wall Street aren't involved. But a former UBS executive director, ex-Morgan Stanley compliance attorney, and several former Bear Stearns brokers are. "UBS is...

  • Smith Barney Tweaks New FA Comp Plan

    Citigroup has tapped Gary Crittenden, formerly of American Express, to become CFO of Citigroup on March 12 -- making Citi's former CFO Sallie Krawcheck the...

  • RJFS' Recruiting Team Takes Shape in 2007

    Raymond James Financial says its private client group grew pre-tax income 47 percent as commissions and fees experienced "healthy increases," in the quarter ended December...

  • Commonwealth Sends Top FAs Back to Class

    Commonwealth Financial Network sent 26 of its leading advisors to a three-day retreat in Boston this January with an emphasis on learning and a bit...

  • Take Off

    Government appropriations are poised for growth, some analysts say, and domestic orders look promising. --- Patrick J. McCarthy Friedman, Billings, Ramsey & Co. 703-469-1236 pmccarthy@fbr.com Areas of Coverage: Commercial Aerospace &...

  • Warming Up

    Some analysts predict that supply and demand changes in 2007 could work in favor of the coal sector, --- Mark L. Reichman A.G. Edwards Mark.Reichman@AGEdwards.com 314-955-6557 Area of Coverage: Coal Outlook: We...

  • Generating Growth

    Different utility groups are proving their ability to limit expenses, acquire rivals and meet the challenges of regulation. --- Maury May Soleil-Power Insights 508-636-9934 maurymay@power-insights.com Area of coverage: Electric Utilities* Outlook: From...

  • Sign of the Times

    Research: Can you tell us a little about CSAG? Pener: Conflict Securities Advisory Group (conflictsecurities.com) is a private, impartial information provider that maintains the world's only...

  • Battleship Missouri

    If actions indeed speak louder than words in the Show-Me State, then Sarah Steelman, Missouri State Treasurer, is showing 'em. It was the former financial...

  • A Friend in Pennsylvania

    Last year, Gerald "Zeke" Strid attended the funeral of his sixth John Doe, a homeless man who froze to death under an Interstate-95 overpass. Strid...

  • Lesson 3: Sustainability and Ruin

    As you are reading this in early April 2007, I am facing the daunting prospect of celebrating my 40th birthday. Besides the trauma of this...

Voices/Columnists