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Smith Barney finalizes broker pay plan

IRVINE, Calif. — In response to complaints from brokers, Smith Barney has tweaked the final version of its new pay plan.


CEO role not for Schwab’s McWhinney?

The Charles Schwab Corp.’s decision last week to position Walter W. Bettinger II as the likely successor to its founder and chief executive caught some financial advisers by surprise.


Referrals show Fidelity has more faith in RIAs

With the specter of millionare clients’ assets slipping through its fingers in a hot rollover market, Fidelity Investments is placing its high-net-worth strategy squarely on the shoulders of registered investment advisers.


Wirehouses warm to fiduciary status

In an effort to prevent top brokers from bolting, wirehouses quietly are backing down from their tough stance against allowing advisers to act as fiduciaries to employee retirement plans.


Merrill pads its lead in race for assets

Merrill Lynch & Co. Inc. continues to lead the wirehouse race for net new client assets.


Wachovia to unveil deferred-comp program

IRVINE, Calif. — Wachovia Securities LLC of Richmond, Va., is expected to roll out in coming weeks a significant new incentive program.


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