NASD Decisions on Rule G-37 Exempt One Firm, Refuse Another
- A.G. Edwards Begins 1st National Ad Push. // American Banker;2/18/2004, Vol. 169 Issue 32, p9
A.G. Edwards & Sons Inc. said it has started the first advertising campaign in the U.S. in its 117-year history. Beginning on Tuesday, the campaign was to highlight the Saint Louis, Missouri brokerage firm's "client-first" philosophy. It was to appear nationally in business and lifestyle...
- A.G. Edwards' Profit Rose 23%. // American Banker;12/23/2004, Vol. 169 Issue 245, p9
Reports that the St. Louis brokerage company A. G. Edwards Inc.'s fiscal third-quarter earnings rose 23 percent.
- Stockbrokers. // Business Press: Serving Southern Nevada;4/11/2005, Vol. 22 Issue 15, p27
Presents a chart of stockbrokers in Nevada as of April 11, 2005. Tri Star Management Inc.; AG Edwards; UBS Financial Service Inc.
- Wachovia: Slow Edwards Integration's Paying Off. Ackermann, Matt // American Banker;9/9/2008, Vol. 173 Issue 174, p11
The article discusses Wachovia Securities LLC. and its integration with A.G. Edwards. Wachovia bought A.G. in order to aid with retaining advisers and corporate growth. Aside from Merrill Lynch & Co., Wachovia is the largest brokerage firm and is focused on expansion. There are some 15,000...
- Profit Up 10% at A.G. Edwards Brokerage. // American Banker;12/23/2005, Vol. 170 Issue 245, p7
This article reports on A.G. Edwards Inc. announcing that its profits rose 10% in 2005's fiscal third quarter. Profits grew as client assets increased and customers shifted toward fee-based accounts. Net income for the quarter was up from $49 million a year earlier. The brokerage company said...
- Justice Department Probes A.G. Edwards for Timing. // Money Management Executive;10/25/2004, Vol. 12 Issue 42, p2
This article reports that Brokerage firm A.G. Edwards Inc. announced that the U.S. Justice Department is looking into possible improper trades at the company. While the firm did not go to indicate whether it has been subpoenaed, it did admit that it could face some regulatory action for "timing...
- A.G. Edwards Sees Impact Of Directed-Brokerage Ban. // Money Management Executive;10/25/2004, Vol. 12 Issue 42, p2
This article reports that Brokerage firm A.G. Edwards Inc. has indicated in a filing to the U.S.' Securities and Exchange Commission that it expects its revenue to decline as a result of the ban on directed brokerage by mutual fund companies.
- BROKERAGE FIRMS. // BusinessWest;6/27/2005, Vol. 22 Issue 5, p34
Ranks brokerage firms in Western Massachusetts by number of licensed brokers. Morgan Stanley; UBS Financial Services; Smith Barney; Merrill Lynch; A.G. Edwards; Advest Inc.; Wachovia Securities Inc.; Advantage Capital Corp.; Corridan & Co.
- Wachovia's National Path Runs Through Brokerage. Ackermann, Matt; Davis, Paul; Cole, Jim // American Banker;6/1/2007, Vol. 172 Issue 105, p1
The article looks at how with Wachovia Corp.'s deal to buy A. G. Edwards Inc., Wachovia is doubling down on its bet that a brokerage network can give it the retail capacity it needs to be a national player in a broad array of financial lines. Comments from Wachovia chief executive officer, Ken...