2004

Block Still Falling Short In Investment Services

December/06/2004 PublicationInvestment News

Meet The New Boss - Different From The Old Boss

December/01/2004 PublicationRegistered Rep

November's news that Bob Mulholland was leaving Merrill Lynch wasn't entirely a surprise. He had been co-head of the 14,000-strong retail brokerage unit, but Merrill insiders figured all along that only one boss would prevail. The news is nonetheless dispiriting to many Merrill reps because Mulholland, a former broker, is part of a dying breed an executive with hands-on knowledge of life in their
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From Broker's Defection, Struggle of Loyalties

November/10/2004 PublicationNY Times

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Handcuffs Made of Gold

September/01/2004 PublicationRegistered Rep

It's a familiar occurrence these days brokers fighting their former employers over money held in deferred-compensation plans. A group of former Smith Barney advisors recently won a judgment that would return over $8 million in forfeited wages held in the company's Capital Appreciation Plan (CAP). Meanwhile, a former rep from the former Prudential Securities is challenging that firm's deferred-comp
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