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?... 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.... Don't Panic!Mar 1, 2002By Saul Cohen What should you do when an unhappy client threatens you with a suit?... 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.... |
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In This Issue: February 2012
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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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