Just Part Of Building A Business
By Staff WriterWhen it comes to compliance, mike leonetti has a matter-of-fact attitude that led him to hire a chief compliance officer--John O'Brien--in 1997 for his now...
June 01, 2004
Bumper Crop Of Enforcement ActionsIf you think the SEC is having a field day with new regulations, just check out the number of enforcement actions the regulator has issued...
June 01, 2004
Change in OwnershipSecurity Benefit Corp., of Topeka, Kansas, and Brecek & Young, the independent broker/dealer in Folsom, California, are "forming a strategic alliance," according to President and...
June 01, 2004
On The Road, And In PrintWhen they're not sharing their pearls of wisdom in print with IA readers, our columnists still find plenty of ways to keep busy. Larry Chambers was...
June 01, 2004
Screening ProcessReps interested in moving to another B/D should consider compliance when they make their choices. Dennis Kaminski, chief compliance officer at Mutual Service Corp., suggests...
June 01, 2004
About The ManagerKevin Baum calls his position as manager of the Oppenheimer Real Asset Fund a great combination of his two loves--investment markets and commodities. How does...
June 01, 2004
Checking In With Mark SpanglerThe former chairman of NAPFA, a private equity investor, and president of Seattle-based Spangler Financial Group, Mark Spangler currently has some $100 million under management....
June 01, 2004
What I Learned in CanadaI learned at least two valuable lessons while attending the National Association of Personal Financial Advisors conference in Toronto. To wit: 1) Canadians have a good...