Investment News

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Articles in November, 2005 issue of Investment News

• With holiday outlook mixed, retail sector may hold bargains; Wal-Mart stock `on sale' for the first time in six years, a money manager says.(News)
• Calendar.(Calendar/Datebook)
• With Phillip E. Ebner of Mount Yale Capital Group LLC.(One on One)
• Take measure of clients, employees, advisers urged.(Conference Call)
• Schwab courts advisers to very affluent; Seeks custody deals with heavy hitters.(News)
• Personality drives retirement savings.(Short Interests)
• Long-term care starts to take on a homier look; Advisers enlisted as aging in place grows as an option.(News)
• Exempt funds, ICI asks FERC.(Short Interests)
• All-electronic proxy voting gains steam; Eliminating paper would mean huge cost savings.(News)
• Tit for tat: Advisers provide banking services; Can offer CDs, money funds with higher rates.(News)
• Plunge seen in store for small-cap stocks; Expected correction could spell trouble for the investor.(News)
• U.S. Trust evaluates whether to continue well-received 'Greatness' community visits; Former Secretary of State Powell a hit with Harlem audience in series finale.(News)
• Asset managers spending more freely for talent; Focus on boosting international teams.(News)
• Learn about separates, then teach clients.(Editorial)
• Little guys the big losers in fraud litigation; Diversifying saves institutional investors, Chamber study finds.(News)
• SIA talks tough on duplicative rules; Some state cops fear attack on enforcement powers.(News)
• Rising compliance costs sting midtier asset managers most; Increasing complexity means hiring help.(News)
• Fund shuns companies in terror-sponsoring nations.(Street Wise)
• ETF collective trusts offer low-cost convenience; But some complain that delivery system has limitations for plans.(News)
• Gorman bristles at Merrill Lynch rule constraints.(Short Interests)
• Most firms already fail SEC exams; Requirement for written policies may push rate higher.(News)
• Janus attempts to quell new merger speculation; Insists CEO, board changes are just that.(News)
• Former rep wins $2.1 million from Lincoln; Arbitrators: Firm owes compensation for lost commissions.(News)
• Many going it alone with retirement plans; 60% of investors lack even a written document.(News)
• Compliance constraints too onerous for some; Smith Barney veteran moves down the street.(News)
• Corporates serious about direct access to shareholders; Say current proxy process is clumsy and expensive.(News)
• Fund returns for the past year have been far better `over there.'.(The Markets)
• Identity theft hits online brokerage accounts; SEC issues guide to investors on how to guard against it.(News)
• Tax reform plans seen as too tame; Advisers say simplification is not simple enough.(News)
• Citigroup moving separates into mainstream; Multimedia drive seeks to educate advisers, investors.(Special Report: Separately Managed Accounts)
• Alpha fund thrives on edge of the hedge universe.(Street Wise)
• NASD's $1.4M State Street fine is its biggest for bond trading.(Short Interests)
• Multi-caps seen as good diversifiers; But defining such a fund is tricky.(News)
• Rival designation could trump CFP in U.K., beyond; Insurance group's mark sanctioned by queen's council.(News)
• KEY YEAR-END TAX STRATEGIES.(Special Report)
• MetLife timely in integrating with Travelers; But execs say costs top expectations.(News)
• NASD may not require VA comparisons.(News)
• A fund's load type often accounts for cost variance within a classification.(The Markets)
• BONY uses ATMs to encourage giving.(Short Interests)
• John Hancock Financial seeks to broaden its product image.(News)
• Global approach pays off for asset managers; Investing, selling of funds abroad help them make mark.(News)
• People.
• Taking an international stance? It may be best to think small.(The Markets)
• UBS gets green light.(Short Interests)
• TIAA-CREF wants do-over on fee vote.(Reverse Spin)
• Customer service looking more like disservice.(Monday Morning)
• Bird flu could spread to worldwide economy; Markets likely vulnerable to potential pandemic, Harris strategist says.(News)
• Defamed reps in Calif. have fewer legal options.(Short Interests)
• Head injuries biggest source of accident claims.(Short Interests)
• Ben Bernanke, a good listener, deserves our ear.(Monday Morning)
• Newcomer in a big push to build indie network; Advanced Equities shops $30 million private placement, entices brokers.(News)
• Massachusetts first to act on equity-index annuities; Investors Capital case highlights issue of jurisdiction over product.(News)
• Wrestling bank data down to size.(Short Interests)
• At the Bell: Tax break extensions approved by Senate.(Late News)
• Clients shouldn't try to play Santa Claus, advisers contend; Tax and retirement planning come first.(Special Report)
• Chuck Schwab takes stage to trumpet fees.(Short Interests)
• Hartford hoping new guarantees can right ship; VA leader striving to stem outflows.(News)
• Coming soon: More Circular 230 amendments.(Tax Watch)
• One on One With William C. Carey of Fidelity Registered Investment Advisor Group.(One on One)
• iPods become medium for financial information; Process can be clunky, but "podcasts'' appeal to tech-savvy clientele.(News)
• Calendar.(Calendar/Datebook)
• Thou shalt invest, Bible says.(Short Interests)
• ICI finds slight drop in mutual fund ownership; Weaker stock market dampens consumer enthusiasm for funds.(News)
• ETFs will continue to surge but won't replace mutual funds.(Other Views)
• Clipper Fund directors aren't sold on new skipper; Old Mutual touts another affiliate to replace PFR.(News)
• One on One With Michael A. Leibowitz, Rita Robbins of Invescor.(One on One)
• Critics: Dim tomorrow for retirees heeding 'Today' guest's advice.(Short Interests)
• Study: Stingy advisers attract lower-quality employees; Schwab finds retention also a problem at low end.(News)
• Thankful for booming biz, aging boomers; Flood of information drives public to financial advisers.(News)
• GAO report questions credit unions' exemption.(Tax Watch)
• Marsh Mac CEO: Putnam's at bottom.(Briefs)
• New BlackRock CFO energized by the mundane; In new role, he'll adhere to accounting rules he helped to write.(News)
• PBHG trustees go back to drawing board.(Short Interests)
• A majority of households own equities.(Short Interests)
• Dow Jones service supports customer contact; Article on wine tasting has huge impact at one firm.(News)
• Mortgage training program designed to ease the sleaze.(Other Views)
• Rebukes exchanged in battle over rule on fund directors; Debate over the SEC's response to appeals court's order intensifies.(News)
• Prudential exec urges waiting to take Social Security.(Conference Call)
• Adviser's hedge fund strategy shuns hedge funds; Hybrid mutual funds offer greater transparency and liquidity, lower cost.(News)
• Adopting a culture of compliance.(Conference Call)

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