Prudential Securities

• NEWS & PRODUCTS, APRIL 2008

  By Staff Writer  |  April 1, 2008

  FINRA has settled cases against five firms for mutual fund sales and supervisory violations, imposing an $800,000 fine against Prudential Securities and a $750,000 fine...

• Figuring Out Fiduciary

  By Melanie Waddell, AdvisorOne  |  March 1, 2008

  This question has been dogging me for some time: What, exactly, does fiduciary advisor mean? Sure, advisors, as opposed to brokers, have a fiduciary duty...

• About the managers

  By Kathleen McBride, AdvisorOne  |  December 1, 2006

  Jackson Robinson, President and CIO of Winslow Management Company, founded the firm in 1983 after posts at Prudential Securities in trading, sales, and research, and...

• UBS to Buy McDonald after Piper Jaffray Deal Closes

  By Janet Levaux, AdvisorOne  |  October 1, 2006

  What do you do after gobbling up some 700 Piper Jaffray advisors? If you're UBS, you make another deal -- this time to rake in...

• 'Portfolio' Manager

  By Ellen Uzelac  |  September 1, 2006

  Kent Christian wasn't looking to change jobs but when an executive search firm queried him late last year about considering a senior role at Wachovia...

• Grand Jury Eyes Trading Abuses

  By Staff Writer  |  December 22, 2003

  An excerpt from the Dec. 18, 2003, edition of The Boston Globe

• NAPFA's Vision

  By Staff Writer  |  May 1, 2003

  Incoming NAPFA chairman Michael Joyce shares his v

• Wahab Capital Readies First Hedge Fund

  By Staff Writer  |  September 5, 2002

  BEVERLY HILLS, Calif. (HedgeWorld.com)--Recently formed Wahab Capital Management is gearing up for its hedge fund debut in early October. The U.S.-based long/short WCM Strategic Fund will...

• Casting a Wide Net

  By Melanie Waddell, AdvisorOne  |  November 3, 2001

  Times may be tough for big brokers, but that isn't

• The Referral Coach

  By Staff Writer  |  August 2, 2001

  Bill Cates runs a referral bootcamp for financial