David Harris, who reportedly has more than $300 million in assets under management, moved to UBS Securities from Smith Barney on April 30, according to the NASD database. Harris, based in Houston, who has written for Registered Rep., was with...
Back in 1981, when Philip J. Purcell helped engineer the odd-sounding merger of Sears Roebuck and Dean Witter, he had a vision. He knew the 401(k) legislation encouraging people to invest for retirement would create a voracious appetite for mutual...
Morgan Ups Offer to Prospective Candidates
James Gorman of Merrill Lynch and other brokerage execs are trying to reinvent the retail broker.
As you might have guessed: Retail investors satisfaction with brokeragesand individual brokershave declined, according to the Security Industry Association (SIA) annual investors attitudes survey. According to the survey, the percentage of...
Who are America's top brokers? Here they are—the top players with the billion dollar books, the top sales prizes from their employers, the best of everything.
Merrill $100M Fine Fallout: Smith Barney Tells Reps it Will Change Research Practices