Rosalyn Retkwa

Rosalyn’s Recent activity

NASD Tinkers With Proposed TRO Rule
Aug 01, 2001
In May, the NASD's Dispute Resolution (arbitration) unit filed an amendment to a proposed permanent rule on injunctive relief. The filing makes several changes to the proposed rule, but a controversial section...
Make Me a Match
Aug 01, 2001
In late May, adviser search links appeared on both CBSMarketWatch.com and Morningstar.com, heralding the launch of matchmaking service InvestorTree.com of Bronxville, N.Y. At the moment, the links are not easy to spot...
Morgan Stanley Launches Rep Home Pages
Jul 03, 2001
After one more in a long string of delays, Morgan Stanley on May 17th finally gave its brokers the ability to create personal home pages, according to a firm spokesperson. For a look at one of the first Morgan Stanley...
Internet Watch: Teaching Brokers New Tricks
Jul 01, 2001
Wall Street has spent huge amounts of money on new technology. But if brokers don't use it, it's a waste. Firms are being challenged to come up with new, innovative training programs that are relevant and appealing to...
Online Account Access Growing
Jul 01, 2001
The number of full-service clients with online account access jumped last year, and it's still growing. It definitely shot off like a rocket last year, says Steve Clifford, director of interactive marketing and...
Bradford Partners Win Arbitrations
Jun 01, 2001
UBS PaineWebber has lost two NASDR arbitrations involving employment restrictions on, and money paid to, former J.C. Bradford partners. When PaineWebber bought J.C. Bradford in June 2000, 164 partners signed...
NASDR Proposes TRO Restrictions
Jun 01, 2001
The NASDR wants to stop firms from freezing customer accounts of brokers who have jumped ship. In a May 7 press release, the regulator said it will seek comments on an interpretation of existing rules that would...
NASDR Weighs in On Battle for Customer Accounts
May 08, 2001
The NASDR weighed in yesterday on the never-ending battle for client accounts. The self-regulatory unit will put out for comment an interpretation of its existing rules that would prohibit "any member firm from taking...
Selling a Sell Discipline
May 01, 2001
Investors will now listen to reps when they suggest orderly exits from investments. Risk management and sell disciplines are popular again. The legacy of the recent bear market will be greater attention to exit...
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