2004 Articles
- Private Asset Management. “OpCo Rejuvenated” December 6, 2004
Oppenheimer & Co. has made a number of high profile hires this year indicating they have overcome any initial problems resulting from purchase by Fahnestock & Co. over a year ago. Rick Wisely and David Tufts, the OpCo managers in Los Angeles and New York, respectively, have had a lot of recruiting success. - On Wall Street. “Merrill, Smith Barney Use UBS Recruiting Tactic” December 2004.
Other firms are expected to start following the UBS lead of covering all or part of deferred compensation for the best brokers.
View full article… - Registered Rep. “The Tipping Point” November, 2004
Former Prudential advisors are becoming concerned with Wachovia’s trouble-plagued technology rollout and are still uncertain how the soon to be published grid will effect them.
View full article… - Registered Rep. “Exodus at UBS?” November 2004
The last payment of the UBS retention package coupled with some general unrest could foretell a mini-exodus of UBS brokers.
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Registered Rep. “The Death of the ‘Peter Principle’?” October 2004
The number of successful producing Branch Managers is declining as the amount of required compliance oversight balloons.
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