Who Regulates the Regulators?Jan 1, 2003By Bill Singer Badges? We ain't got no badges. We don't need no badges. I don't have to show you any stinking badges. So go the famous lines from The Treasure of the... Breaking Up Is Hard to DoNov 1, 2002By Jonathan Arfa When a business partnership is new and everybody is toasting the new team, nobody thinks much about the legal agreements the partners just signed. In... Law & Order: Client-Broker DisputesNov 1, 2002By Carol X. Vinzant The last couple of years have been hell on anyone who owns stock. And someone must pay. Rightly or wrongly, that person typically is you. Case in point:... Deferred Compensation. Whose Money Is It?Oct 1, 2002By William A. Jacobson Firms love deferred compensation. After all, it is your money they are deferring, not their own. Just try asking your firm to defer taking its share of... First, Hire the LawyersOct 1, 2002By Jonathan P. Arfa In this market, it is no wonder that customers are looking to recover losses any way they can. Even clients responsible for their own lousy picks are... California Securities Arbitrations at a StandstillSep 1, 2002By Ann Therese Palmer Nancy Zanolini, 57, a semi-retired art gallery manager in suburban Sacramento, Calif., had been eagerly awaiting July 2002 for months. That's when arbitrators... Cashing OutSep 1, 2002By William A. Jacobson Understandably, the losses of brokerage clients have gotten all the headlines. But the truth is that the bear market has also devastated many careers... Street Legal: Blame the SEC, TooAug 1, 2002By Saul S. Cohen Bloodied investors focus on bankers, greedy execs and crooked accountants. Where were the watchdogs?... Regulators: Borrowing From Clients is Legal But FoolishAug 1, 2002By Bill Singer The biggest mistake, one broker found, was lying to his frim-even as he was paying back the money.... No Free RideJun 1, 2002By Bill Singer Consider this: Two years ago you worked for XYZ broker/dealer's Westchester County, N.Y., branch. After a short stint, you moved to another firm, with... Avoid the Enron 401(k) Problem.Jun 1, 2002By Roger C. Siske Setting up retirement plans for your business clients can be risky. Nevertheless, there's a recipe for protecting yourself from unpleasant surprises.... Street Legal: Return PolicyMay 1, 2002By William A. Jacobson Firms now fear that they paid too much up front to recruit brokers during the bull market. They want the money back. What's a broker to do?... If You Can't Do The TimeMay 1, 2002By Bill Singer ...don't do the crime of lying to regulators.... The Father of the BrideApr 1, 2002By Bill Singer The party’s over and the NASD is stuck with a hangover and the tab. Will it seek more broker fines to fill the gap?... Cleaning HouseApr 1, 2002By Dave Sterman The SEC, Congress, industry groups and even companies themselves are suggesting ways to straighten out the regulatory mess and give new gloss to investing.... Betrayed?Mar 1, 2002By David A. Gaffen Phil Spartis and Amy Elias say Salomon Smith Barney rushed to settle investor claims against them—and ruined their future as brokers.... The Advocate: Raise Your Voices for Post-Enron RegulationMar 1, 2002By T. Sheridan O'Keefe It is critical for our professional survival to restore confidence in the markets. The right kind of regulations can do that.... Don't Panic!Mar 1, 2002By Saul Cohen What should you do when an unhappy client threatens you with a suit?... |
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