How Not to Get SuedApr 1, 2005Thrupthi Reddy, senior editor, Trusts & Estates. If you're a fiduciary and don't want to get sued and fined pay close attention to litigation expert Dominic J. Campisi. Campisi, a partner in the San... The Ethical Rep: Responsibility IssuesMar 1, 2005
I underwent a grueling arbitration hearing this year. The complainant's attorney claimed I'd acted in a fiduciary capacity by purchasing and allocating... How Free Training Can Cost You a BundleMar 1, 2005By Bill Singer Training is everythingcauliflower is nothing but cabbage with a college education. Mark Twain To this famous quote brokerage firms might add: Financial... Conditional ForgivenessFeb 1, 2005
Q: Recently I have been offered a forgivable loan as part of a transition package. I've taken loans before, but I've never seen one of the requirements... Short but Not Necessarily SweetFeb 1, 2005By Bill Singer Greener pastures await at another broker/dealer: I'm outta here. Adios. Sayonara. Kiss mywell, you get the idea. It's a heady moment when a rep leaves... For the RecordJan 1, 2005By Bill Singer Aclient of mine recently received the securities industry's equivalent of the black spot that pirate death summons made famous in Robert Louis Stevenson's... Not in My NameJan 1, 2005
Q: In March 2003, I purchased $80,000 of Franklin New York Tax-Free A shares for my 70+-year-old client, who wanted to hold them long-term and was eligible... The Promise KeepersDec 1, 2004
Q: I have about $154,000 remaining on a forgiveable loan that I received when I joined a major wirehouse in 2001. Recently I was terminated for unauthorized... Read It and SteepNov 1, 2004By Bill Singer When dealing with lawyers especially on matters as complex as securities law even the most controlling clients are tempted to go passive. The instinct... The Fear of PursuitNov 1, 2004
Q: I joined a regional bank brokerage firm three years ago. When I hired on, I was asked to sign a nonsolicitation agreement. Eleven months later, at... To Quit or Not To Quit, That Is the Question on Item 14JOct 1, 2004By Bill Singer Your branch manager is a jerk. The broker/dealer is run by idiots. Worse, those morons just reprimanded you for unsatisfactory production and warned you... On Ambulance Chasing and Asset ProtectionSep 1, 2004By Daniel L. Daniels, David T. Leibell and Russ Alan Prince As anyone who rides public transportation or watches late-night TV can attest, our society is a litigious one. We've all seen the ads: Have you or someone... The Blame GameSep 1, 2004
Q: In a grueling arbitration hearing this year, the complainant's attorney alleged I'd acted in a fiduciary capacity by purchasing and allocating a variable... Dealing With ComplainersAug 1, 2004By Bill Singer Death and taxes are an inevitable part of everyone's life. If you're a registered rep, you can add customer complaints to that short list. It's an article... On the Hot SeatAug 1, 2004By Alison K. Jimenez They're coming to get you. As the number of arbitrations filings increases, so too do the odds that you will be called to appear in a regulatory hearing.... A Question of ClassJul 1, 2004
Q: My firm encouraged in a documentable way the conversion of A-share mutual funds into a new class that could be held in wrap accounts (and be charged... When Silence Isn't GoldenJul 1, 2004By Bill Singer The current suit-happy environment has left more than one registered rep yearning for the Cone of Silence, that whimsical invention from the 1960s spy... The Great Compliance Witch Hunt!Jul 1, 2004By David A. Gaffen Things went from bad to worse for Greg Kinkead, a 10-year veteran advisor based in Las Vegas. In 2002, several months after switching wirehouses, Kinkead... Alone In a CrowdJul 1, 2004By Bill Singer The tale of Gina Guzzone is one that would do Franz Kafka proud. All the elements are there the mazelike system of bureaucratic roadblocks, the surreality... Haunted by the PastJun 1, 2004
Q: Back when I was 18 I was charged with two felonies. On one, the charges were completely dropped the next day. For the other, it was reduced to a minor... The Downside to the Rube DefenseJun 1, 2004By Bill Singer Time was, the perfect stockbroker was equal parts salesman and stockpicker, but these days you have to throw a good measure of lawyering into the mix.... Out, Damn SpotsMay 1, 2004Will Leitch In April, the NASD instituted a rule meant to prevent stockbrokers from, in effect, buying their way out of client complaints and a dinged Form U4 by... Archive Items Now?May 1, 2004Will Leitch Most reps work under the assumption that all their professional correspondence could be scrutinized, and the SEC now is telling them that assumption is... Arbitrary DecisionsMay 1, 2004
Q: In a securities arbitration by a brokerage client, the client's former broker was not named as a party nor mentioned in the claim. Attorneys for the... It's Your Call—AlwaysMay 1, 2004By Bill Singer Far too many reps are learning the hard way how little responsibility clients shoulder when it comes to assessing the suitability of their investments.... |
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Got the Social Media Spins? Help Is On The Way
A bunch of social media services have emerged to help financial services firms comply with regulations and make the most of social networks to build business. They've got big plans for 2012.
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