With scandals continuing to dominate the news and broker/dealers under more fire from the investing public, it come as little surprise that arbitration figures rose again in 2003. According to the NASD, 2003 brought more arbitrations than any year in a decade — by far.
WHY THEY'RE SUING
Most types of complaints rose in 2003, especially those related to breaches of fiduciary duty and negligence.
In our 18th annual Broker Report Card survey, wirehouse FAs say they are fed up with management ruining their excellent franchises and platforms. Will the great advisor diaspora begin?
Cannon’s Concepts For Professionals: A Complete Library of Essential Financial Concepts
This reference book was updated for 2008 and now contains over 900 pages of information on essential financial concepts and wealth management strategies for your work with wealthy clients. The book not only contains brief summaries of each topic, but it also contains many useful diagrams and charts that can be used with clients when explaining difficult financial concepts. The information in this book meets current FINRA/NASD guidelines....
