1.   He also still works with investment clients and serves on numerous boards.

2.   He said the company had been shunned by prospective new investment clients while that cloud was hanging over the firm.

3.   Overall, only half the advisers examined described their soft-dollar practices in sufficient detail to allow their investment clients to understand what was going on.

4.   Schwab has almost four times as much assets under management from its investment advisor clients.

5.   Seligman sells its mutual funds through wholesalers to stockbrokers, who offer them to investment clients.

6.   The new businesses seem to have caught on with some investment banking clients, assert the investment bankers.

7.   Typically, the large commercial banks that hold stocks and bonds in custody for investment clients will loan out only a portion of those securities to generate additional revenue.

8.   Under the quirks of securities laws, trading soft dollars for questionable goods or services is generally not illegal as long as there is full disclosure to investment clients.

9.   Vest is offering tax services to attract new investment clients while Block and Intuit are offering investment services to their tax clients, a costlier strategy.

10.   Deutsche Asset Management has said it acted in the best interests of its investment clients.