RR Online Exclusives, 2001

DECEMBER UBS PaineWebber Succumbs to Pressure, Says It Will Not Fine Reps For 'Flipping' Dec 28, 2001 Update: NASD’s Ruling on Client Account Transfers ‘Clear Victory’ For Brokers, Customers Dec 28, 2001 NASD Adopts New Rule Interpretation on Client Account Transfers Dec 28, 2001 UBS PaineWebber Brokers Begin Taking Hits For Flipping, Reps 'Furious' Dec 21, 2001 A.G. Edwards Reducing Workforce, Brokers

DECEMBER


UBS PaineWebber Succumbs to Pressure, Says It Will Not Fine Reps For 'Flipping' Dec 28, 2001

Update: NASD’s Ruling on Client Account Transfers ‘Clear Victory’ For Brokers, Customers Dec 28, 2001

NASD Adopts New Rule Interpretation on Client Account Transfers Dec 28, 2001

UBS PaineWebber Brokers Begin Taking Hits For Flipping, Reps 'Furious' Dec 21, 2001

A.G. Edwards Reducing Workforce, Brokers Unaffected Dec 20, 2001

Morgan Stanley Brokers Cater to Existing Client Base in Light of Plummeting Revenues Dec 19, 2001

SSB Eliminates Annuity Trail Bonuses, Brokers Upset Dec 13, 2001

Merrill Salary Freeze Affecting Brokers ‘Indirectly’ Dec 11, 2001

Brokers’ Business Approach Vary as Market Soars Dec 10, 2001

Analyst Recommends More Jobs Cuts at Morgan Stanley, No Brokers Expected to Axed, Firm Says Dec 5, 2001

NOVEMBER
UBS PW Pushing Fee-Based Business, Transactional Reps Upset Nov 30, 2001

New SEC Chief Has No Qualms About Sign-on Bonuses Nov 12, 2001

Report From SIA’s Boca Bash Nov 8, 2001

Merrill’s New Compensation Plan Rewards Fee-Based Brokers Nov 2, 2001

OCTOBER
Merrill Fires Rep Over Credit Suisse Letter Oct. 30, 2001

Merrill on Managed Accounts: Still Growing, Redemptions Low Oct. 23, 2001

Merrill's O'Neal Clarifies Cost Reductions Oct. 18, 2001

Ibbotson Offers Free Slide Showing Past Catastrophes Oct. 11, 2001

Merrill’s Gorman on Client Ownership, Priorities, Broker Pay Oct. 11, 2001

SIA Reports Terrorist Attack Cost Industry Over $1 Billion Oct. 9, 2001

Merrill Names New International Chief Oct. 3, 2001

Head of Retail Out at Piper Jaffray Oct. 2, 2001

Merrill Advances Commissions Oct. 2, 2001

SEPTEMBER
SSB Back at Greenwich HQ; MS Spreads Out Sept. 27, 2001

Two Key Merrill Execs Are Out Sept. 26, 2001

Merrill Cancels Broker Incentive Trips Sept. 26, 2001

Schwab Adviser Conference Still A Go Sept. 24, 2001

FPA Names New President Sept. 24, 2001

Merrill Names Gorman Head of Retail Sept. 21, 2001

Terrorist Trading is Speculation, SEC Enforcement Head Says, Sept. 20, 2001

Reps Hear Outpouring of Support, Sept. 17, 2001

SIA Closes NY Office, Sept. 17, 2001

SSB Employee Info; Greenwich St. SSB Office Closed, Sept. 16, 2001

At the Opening: Firms Warn About Volatility, Illiquidity, Delays, Sept. 16, 2001

Disaster Assistance: Brokerage Firm Employee Information, Sept. 14, 2001

Press Reports: 10 to 15 Morgan Stanley Employees Lost. Merrill Says Three Unaccounted For, Sept. 14, 2001

Article Employee Deaths Under 40, Morgan Stanley Says, Sept. 13, 2001

Most OK, But “We’ve Lost Friends and Colleagues,” Purcell Says, Sept. 12, 2001

Merrill Lynch Announces “Virtually All” Employees Safely Evacuated from WTC, Sept. 12, 2001

Purcell Says “Vast Majority” of MS Employees Safe, Sept. 12, 2001

Salomon Smith Barney, Merrill Lynch Say Employees Successfully Evacuated, Sept. 12, 2001

Morgan Stanley is Functioning, Purcell says. Firm Denies Dow Jones Report, Sept. 11, 2001

Morgan Stanley Reportedly was Trade Center’s Largest Tenant. Firm Establishes Emergency Contact Number, Sept. 11, 2001

SEC's Pitt Makes Statement Following Terrorist Attack, Sept. 11, 2001

EEOC Files Discrimination Suit Against Morgan Stanley. Firm Denies Charges, Sept. 10, 2001

Raymond James Offers Private Banking for Local Banks, Sept. 6, 2001

Morningstar Launches Managed Money Program, Sept. 5, 2001

AUGUST
Survey: Nearly 60% of Americans Do Not Have Wills, Aug. 28, 2001

Commentary: Funds Fight Folios, Lose. A Case of Hypo-Crisy, Aug. 24, 2001

Study: Investment Firms May Miss the Wealthy, Aug. 23, 2001

NASDR Analyst Disclosure Rule Would Harm Brokers, Lawyers Say, Aug. 17, 2001

Merrill Drops 1,700 Brokers in Six Months, Aug. 14, 2001

Brokers’ Median Pay Topped $366K Last Year, Aug. 13, 2001

Ex-Templeton Prez Wins $858K Award, Aug. 10, 2001

Royal Bank of Canada to Buy Tucker Anthony Sutro, Aug. 6, 2001

IMCA, ICIMC Move Closer to Consolidation, Aug. 2, 2001

JULY
UBS to Fine Reps for Flipping, July 31, 2001

Levitt Warns About Broker Conflicts, July 26, 2001

A.G. Edwards’ Business Drops by a Third, July 20, 2001

Merrill Says Major Retail Cuts Over, Fee Push to Continue, July 19, 2001

Is 'Series 7' a License to Kill? July 17, 2001

Merrill’s Call Centers Honored, July 12, 2001

ISO Developing International Financial Planning Standards, July 9, 2001

Morgan Stanley Launches Rep Homes Pages, July 3, 2001

GAO Report Faults SIPC, SEC, July 2, 2001

JUNE
SEC Issues Alert on Analyst Conflicts, June 28, 2001

Former J.P. Morgan Employee Launches Sex Discrimination Web Site, June 28, 2001

Affluent Goals: Preserving Wealth, June 22, 2001

SSB Exec Says Teams to Dominate Industry, June 20, 2001

Merrill Chief Calls Account-Transfer Problems No Big Deal. Ditto For Edward Jones, June 14, 2001

2001 Could Be Worst Year in Pension History, June 13, 2001

Update: CAP Cases Certified as Class Actions, June 11, 2001

Komansky on Retail Strategy, Merger Rumors, June 8, 2001

Former Merrill V.P. Now Runs Ameritrade. No TRO--Only Best Wishes, June 7, 2001

Salomon to be Dropped From Smith Barney Name in 2002, June 5, 2001

Top 10 Reasons Why FUS Deserves Wachovia, June 1, 2001

MAY
Number of Wealthy on Rise, May 29, 2001

NASD Wants Comment on Account Transfer Rule, May 24, 2001

American Century to Offer C Shares, May 23, 2001

First Union CEO Defends “Flawless” Acquisitions, May 21, 2001

A.G. Edwards Plans Acquisitions; No Call Centers, May 17, 2001

UBS PaineWebber Survey Shows Consumer Confidence Drops, May 16, 2001

SunTrust Vying for Wachovia, Bids More Than First Union, May 14, 2001

Absence of Schwab, E*Trade at Conference Draws Reps’ Attention, May 10, 2001

MLIM Prez Says Division has Regained Contact With Reps, May 9, 2001

NASDR Weighs in On Battle for Customer Accounts, May 8, 2001

Sutton Issues Challenge: Brokers, Call Your Clients, May 3, 2001

Morgan Stanley Establishes New Minimum of $200K, May 2, 2001

Prudential Insurance Is Now Prudential Financial, May 1, 2001

APRIL
Canadian Firms to Cough Up Complaint Info, April 27, 2001

Brothers Win Case Against A.G. Edwards, April 26, 2001

A.G. Edwards Debuts Broker Home Pages, April 23, 2001

Merrill Drops 800 Brokers During the First Quarter, April 18, 2001

AEFA’s New Broker Platforms Hurting Results, April 17, 2001

First Union Securities Will Become Wachovia Securities, April 16, 2001

Law.com On Rubin & Associates—The Firm That Sues Brokers, April 13, 2001

Merrill Lynch Becoming Top Trust Player, April 12, 2001

Pru’s IPO Filing Reveals Turnover Problem, April 10, 2001

Merrill Pushes New Team Philosophy, April 5, 2001

Morgan Stanley Says No Broker Layoffs, April 4, 2001

First Union Contemplates Independent Broker Channel Expansion, April 3, 2001

Morgan Stanley Name Change Official, April 3, 2001

MARCH
Dent Doesn’t Back Down, Still Predicts Dow to Hit 36,000, March 30, 2001

Merrill Retail Profits Jumped 17% in 2000, March 28, 2001

RJFS CEO Predicts Significant Jumps in Reps, Fee-Based Planning, March 27, 2001

Employees Bound by Arbitration Agreements, Supreme Court Says, March 22, 2001

Weakened Environment Will Impact Number of MSDW Reps, March 22, 2001

Fund Industry Fights Upstarts, March 20, 2001

SSB Wins Two CAP Cases, March 16, 2001

Merrill Unveils New Segmented Sales Force Structure, March 12, 2001

SIA Survey Shows Progress Made in Mutual Fund Portability, March 8, 2001

Web-Based Financial Services Have Yet to Win Consumer Acceptance, According to Study, March 6, 2001

Broker Conference Notes: In a Rough Market, Opportunities Abound, March 2, 2001

Merrill Expanding Wealth Management Group, March 1, 2001

FEBRUARY
SSB, Merrill Launch New Web Services, Feb. 28, 2001

Schwab to Provide Investment Consulting With Callan, Feb. 27, 2001

Securities Training Exec Sees No Signs of Hiring Slowdown, Feb. 22, 2001

First Union CEO Says 2001 Will Be Belt-Tightening Year, Feb. 16, 2001

MSDW Reps Have Mixed Reaction on Clinton Speech, Feb. 14, 2001

SSB Dropped From Asset Management Name, Feb. 12, 2001

Dain Retention Plan Unveiled, Feb. 9, 2001

E*Trade Slows Move Into 401(k) Arena, Feb. 8, 2001

Conflict Prevents Wick Simmons From Joining RJF Board, Feb. 5, 2001

Survey: Investors Paying For Advice 'More Satisfied,' Feb. 2, 2001

JANUARY
Merrill Lynch to Launch National Marketing Campaign, Jan. 31, 2001

MSDW Reps OK With New "Morgan Stanley" Name, Jan. 30, 2001

Merrill Sells Herzog's Retail Division, Jan. 26, 2001

Ben Edwards Says Upfront Bonus Aversion Hurt Firm, Jan. 24, 2001

Merrill Cost Cutting Pays Off, Jan. 23, 2001

Lockwood Preparing to Launch MAX to Compete With Mutuals, Jan. 19, 2001

Levitt Warns Public About Brokers, Congress, Jan. 16, 2001

Jones’ A-Share Annuities Growing at 20% Annual Rate, Firm Discouraging B-share Products, Reps Say, Jan. 12, 2001

Consultant Organizations IMCA, ICIMC Consider Merger, Jan. 10, 2001

NEWS ANALYSIS Better Late Than Never: Levitt Knocks Markets, Jan. 9, 2001

Raymond James Wants Wick Simmons as Board Member, Jan. 5, 2001

Merrill’s Corporate Cost-Cutting Spills Over to Branches Jan. 4, 2001

Consolidation of Firms to Continue, SIA Says, Jan. 2, 2001

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