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Rick Weinberg

Rick’s Recent activity

Broker Compensation Rules Proposed
Oct 01, 1999
The NASD has proposed rules that would require a broker to tell clients about special payouts the rep may be receiving, as well as prohibit single-product sales contests.The NASD is taking comments on the rules until...
Median Broker Production Hits New High in '98
Sep 01, 1999
Retail brokers' median gross production reached a new record of 334,397 in 1998, according to data from the Securities Industry Association.Although median production (commissions and fees) increased 10.2% from a...
CFP Board Reconsiders "CFP Lite" Idea
Sep 01, 1999
The CFP Board of Standards is reconsidering the idea of a new Associate Certified Financial Planner designation for entry-level planners.The idea, panned as "CFP Lite" by many holders of the full CFP designation...
Retirees' Champion
Sep 01, 1999
Marilyn Murphy was sitting in her Modesto, Calif., office--a converted garage--when the telephone rang in December 1991. "Marilyn, a friend of mine needs help," the voice said. The friend, a corporate manager, had...