Research Magazine April 2010
Cover Story
The Accidental Wholesaler
No one dreams of becoming a wholesaler one day. Not even Jerry Padilla, who happens to be a very good one. Grueling, humbling, sometimes thankless...
Features
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The Financial Reform Fiasco
In late February, Senator Chris Dodd of Connecticut, the Democratic chairman of the Senate Banking Committee, announced the showpiece of his financial-regulatory reform plan: a...
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Efficiently Controversial
Financial theory is in flux. Ideas that once were widely accepted among financial economists are in dispute. In particular, the efficient-markets hypothesis -- which dominated...
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Dynamic Clearing
Tighter financial industry rules and regulations en route via the Obama administration have clearing firms psyched up and ready: They see the developments as a...
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Annuity Analytics: Presidential Life's Sentinel Annuity
PRODUCT REVIEW As I was Contemplating the content for this column on President's Day 2010, I realized that one of the numerous product descriptions sitting on...
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Stepping Out
JIM HAYS: PRESIDENT; PRIVATE CLIENT GROUP; WELLS FARGO ADVISORS; ST. LOUIS, MO. SOUND BITE: "The Wells Fargo brand has been phenomenal. It's been a big win-win." Sometime...
Editor's Note
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The Advantages of a Laggard
At only 37 years old, Jerry Padilla is already somewhat of a legend at Morgan Stanley and in the retirement community. Since he took on...
News
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The ETF(k) Option: Putting ETFs into the Retirement Recipe for 401(k) Plans
Detractors claim that ETFs have no business inside 401(k) plans, but are they right? Will ETFs shake up the slow-moving 401(k) market by lowering fees...
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Stock Brokers Bid for ETF Clients
Online brokers are bidding for a greater share of online customer trades. And in some cases, they're taking some very aggressive measures. During the first quarter,...
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Van Eck Launches Egypt ETF
Van Eck Global has added the Market Vectors Egypt Index ETF (EGPT) to its fund lineup. The move came amid a flurry of international offerings...
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Grail, Pimco Activate Fixed Income ETFs
Three newly introduced actively managed bond ETFs will compete in the growing fixed-income ETF marketplace. Grail Advisors added the Grail McDonnell Intermediate Municipal Bond ETF (GMMB)...
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ProShares Moves to Add Leverage
ProFunds Group has just introduced several new ProShares ETFs that employ high octane leverage. The funds will utilize triple daily long and short (inverse)...
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New Rules Coming for 401(k)s
The White House organized a forum with the U.S. Department of Labor in late February to announce two new rules that it believes can "enhance...
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Dodge & Cox Has New CEO
Dodge & Cox recently named Kenneth E. Olivier its CEO, while John A. Gunn remains chairman of Dodge & Cox. Olivier joined the firm in...
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Eagle Opens Bond Fund to Investors
Eagle Asset Management, a provider of equity and fixed-income investment strategies to institutional and individual investors, says its Eagle Investment Grade Bond Fund opened...
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Janus' Funds Hit Five-Year Mark
Janus Capital Group has just celebrated the five-year anniversaries of Janus Triton Fund (JATTX) and Janus Global Research Fund (JARFX). The funds, which were...
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LPL Financial Upbeat On FA Recruiting in '10
This year, LPL Financial aims to build on its recruiting success in 2009 after "experiencing record levels of recruiting growth," said Bill Morrissey, executive vice...
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Wells Fargo to Stage Vote on Exec Comp
Wells Fargo's board of directors said in late February that its stockholders will have the opportunity to cast a non-binding advisory vote on executive compensation...
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UBS Adds Tax Overlay
UBS reports that it now offers a Personalized Tax Management Overlay for a selection of multi-asset portfolios on its Private Wealth Solutions separately managed...
Voices/Columnists
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Further Recovery
In my last column, I detailed the steps I would go through to pencil in offensive and defensive business goals. I created a spreadsheet to...
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Memories
Having been fixated on financial news ever since my 401(k) mysteriously disappeared, I can't help but think back to some truly awful memories from the...
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Five and Five
In today's turbulent times we all want something we can really count on. Well, since we can always count on our fingers, let's assign each...
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If the U.S. No Longer Leads, Who Will?
These days, American economic leadership is being repeatedly thrust into question. Surely, the likes of China and Russia have long been complaining about a "uni-polar" world...
Investment Spotlight
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Utilities: Growth Drivers
James O. Lykins J.J.B. Hilliard, W.L. Lyons, LLC 502-588-1799 jlykins@hilliard.com We are currently recommending American Water Works (AWK), Aqua America (WTR), Artesian Resources (ARTNA), and California Water Service Group...
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Coal: Clearer Picture
David M. Khani, CFA FBR Capital Markets 703-469-1179 dkhani@fbr.com Heading into 2010, we continue to be optimistic on the coal space in general and believe that most companies under...
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