Tom Nelson

The very nature of a stockbroker's job puts him or her in daily contact with bulls and bears. A recent study shows it may be time to add cats and dogs to the mix.According to a study conducted by Karen Allen, M.D., of...

A three-person NYSE arbitration panel in January awarded Principal Financial Securities and Everen Securities 4.45 million dollars in a case against Raymond James for raiding and breach of confidentiality agreements...

Once upon a time, full-service brokers were worried about losing the next generation of investors. But now, traditional firms are convinced they can attract the new wave of emerging investors--even when those...

Regulators have been busy painting a picture of margin debt exploding out of control. Yet a report released by the SIA in February shows that margin debt as a percentage of market capitalization is well within...

Carolyn Polston, Edward Jones, Wilmington, N.C. Several years ago when Carolyn Polston became a client at Edward Jones, she was impressed by the professionalism, enthusiasm and job satisfaction of the staff.She was so...

Sean Allburn doesn't work in the big city--and that's just the way he likes it.About five years ago, Allburn, 32, a senior vice president at First Union Securities, made a conscious decision not to launch his...

Merrill Lynch's Valentine's Day appointment of E. Stanley O'Neal to head its retail brokerage division drew mostly yawns from Merrill reps. O'Neal was previously Merrill's CFO. John "Launny" Steffens, retail chief...

E*Trade, which once urged investors to "boot your broker," has relented somewhat and will start referring clients with larger accounts to full-service advisers.The firm could be providing adviser referrals by the end...