Research Magazine-April 2007

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  • Lesson 3: Sustainability and Ruin

    Moshe A. Milevsky

    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...

  • Warming Up

    Staff Writer

    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...

  • Battleship Missouri

    Jane Wollman Rusoff

    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...

  • The Wave

    Bill Miller

    The big wave is starting to break. I'm talking, of course, about the wave of baby boomers who are just now beginning to retire. That...

  • Smith Barney Tweaks New FA Comp Plan

    Janet Levaux

    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...

  • Expense Ratios Creep Up

    Staff Writer

    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...

  • Bringing ETFs to 401(k)s

    Staff Writer

    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...

  • Mid-Cap SPDRs Get Strong Start

    Staff Writer

    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...

  • ProShares Introduces Sector ETFs

    Staff Writer

    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...

  • Three Big Players Stay Strong in 2006-2007

    Janet Levaux

    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...

  • What's the Real Threat to Wall Street?

    Staff Writer

    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...

  • IN BRIEF

    Janet Levaux

    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...

  • Right-Sized and Customized

    Alexei Bayer

    Boston is a Mecca of the money management industry, serving as headquarters for a fair number of mutual funds, broker-dealers and fund managers. This being...

  • A Bet on the Future

    R. Gina Renee

    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,...

  • How Would You Recover From a Disaster?

    Ellen Uzelac

    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...

  • RJFS' Recruiting Team Takes Shape in 2007

    Janet Levaux

    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...

  • A Friend in Pennsylvania

    Ellen Uzelac

    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...

  • London Calling

    Alexei Bayer

    Pitting an enervated Brit against a brash, self-confident Yank is a frequent theme in post-World War II, post-Empire British literature, appearing in spy thrillers by...

  • I Love to Sell - Part II

    Bill Good

    Very early in the selling side of my career, I started using a written questionnaire. My first one was a monster. It was 45-questions long....

  • Solution Providers

    Jane Wollman Rusoff

    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...

  • Beyond Investment Advice

    Marie Swift

    When the phone rang that day, advisor Mary Lacey Gibson was surprised to hear one of her clients say, "My wife is making me call...

  • Sign of the Times

    Robert Scott Martin

    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...

  • Is Your Portfolio Bilingual?

    Staff Writer

    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...

  • Dead Wrong About Inheritors

    Patricia J. Abram

    Financial advisors hoping to build more profitable businesses are often fascinated with the potential of the inheritors market. Such advisors frequently cite predictions that from...

  • 14 Charged with Insider Trading

    Janet Levaux

    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...

  • Take Off

    Staff Writer

    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 &...

  • Generating Growth

    Staff Writer

    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...

  • Commonwealth Sends Top FAs Back to Class

    Janet Levaux

    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...

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