Preying on SeniorsSep 1, 2006Kristen French “Seniors” account for 44 percent of all investor complaints received by state securities regulators and that number could grow in coming years, according to the North American Securities Administrators Association... Utah's Naked Short Selling Law on HoldSep 1, 2006Kristen French The Securities Industry Association (SIA) and Wayne Klein, the director of Utah's Division of Securities, have agreed to put on hold Utah's recently approved “failure to deliver” law... Cockroaches of the Investment BusinessSep 1, 2006By Kristen French Securities regulators say that 60 percent to 70 percent of the complaints they receive concerning fraud are committed by unregistered individuals, while 97 percent to 98 percent of registered reps have virtually spotless records... Advisor BewareSep 1, 2006
Registered reps always have an obligation to do what is in the best interests of their customers, which includes making recommendations that are suitable for their investment objectives and risk tolerance.... A Moving TaleSep 1, 2006By Bill Singer You may be exposing yourself to big problems if you don't update your address in the CRD... BlotterSep 1, 2006
Number 19 for Spitzer; Oppenheimer Broker Fingered; A.G. Edwards Dinged by NYSE... Put It in Writing: Investors Want Arbitrators to Explain Their AwardsAug 16, 2006By Karen Donovan Lawyers who represent investors in securities arbitrations hope that a proposed NASD rule will take effect soon. ... NYSE Fines A.G. Edwards for Excessive Fees and Failure to SuperviseAug 7, 2006By John Churchill New York Stock Exchange Regulation handed down a $900,000 fine to A.G. Edwards today, marking the regulator’s first fine for abuses in fee-based accounts. The firm was also charged with failure to supervise staff, including one particularly wayward branch manager.... The Argument Over ArbitrationMay 1, 2006BY KRISTEN FRENCH AND ANN THERESE PALMER Arbitration used to be relatively quick and cheap. Not anymore, and no one - not firms nor lawyers, nor brokers, nor customers - seems to like it. What to do?... Your Fees Under the Regulator MicroscopeApr 1, 2006By Kristen French Can you justify your fees?... Both Sides NowFeb 1, 2006By Kristen French Our interests may not always be the same as yours. Imagine telling your clients that. And then imagine saying 20 minutes later, But now that we're discussing... Schapiro in, Glauber out at NASD in 2007Feb 1, 2006John Churchill The brokerage industry will always loathe regulation. And it's safe to say brokers weren't raising pints of ale to the announcement in January that Mary... I Fought the LawJan 1, 2006John Churchill After stepping into the ring last spring with California Attorney General Bill Lockyer over fund disclosure practices, American Funds recently knocked... Spitzer Hints Scandal Is Winding DownJan 1, 2006Kevin Burke Eliot Spitzer may have fired the final cannon blast in his 27-month assault on the mutual fund industry. The crusading New York attorney general reached... Brokering AdviceDec 1, 2005By Andrew Osterland Nothing ruins a Sunday afternoon football game for Roy Diliberto more than one of those ads about stockbrokers who are unusually committed to their clients.... Market-Timer Banned and FinedNov 1, 2005John Churchill Theodore Sihpol III, a former broker at Banc of America Securities (BAS), and poster boy for the market-timing scandals and the first target of Spitzer... Will Reform Drive Brokers From 529 Sales?Nov 1, 2005By Lauren Barack It wasn't tainted research. It wasn't late trading. It wasn't even good for a lot of headlines. But it was another ugly moment for investment advisors... Regulation With a SmileOct 1, 2005John Churchill It's a fact that busy workers are happy workers. Or is it the other way around? Either way, it may help explain the apparent mirth at the SEC. The federal... Ducking the VA StormOct 1, 2005By Kristen French Can the folks who market variable annuities and have gotten slammed by regulators for how they line their pockets in the process force the industry that... The Battle at HomeSep 1, 2005John Churchill The war in Iraq has cost Elton Johnson just about everything. Johnson, owner and operator of Amerivet Securities, a small broker/dealer in Inglewood,... Under SiegeSep 1, 2005BY KAREN DONOVAN ON ITS WEB SITE, THE NASD SAYS THE HEART OF ITS MISSION IS TO ENFORCE SECURITIES LAWS IN A VIGOROUS, FAIR AND EFFECTIVE MANNER. ASK ANY BROKER/DEALER... Regulate Thyself (Better)Sep 1, 2005BY KAREN JONES In the wake of the Wall Street scandals of the past few years, it was inevitable that government regulators would take a look at how the self-regulatory... The Military Needs Protection TooAug 1, 2005By John Churchill The House of Representatives has approved a bill that would stiffen rules governing the way mutual funds, high-cost loans and other financial products... Cover Your A** With PaperAug 1, 2005By Bruce Sankin Who would have thought that a piece of regulatory paperwork could rank among an advisor's best friends? But it's true. The piece of paperwork in question... The Ten to Watch 2005: Learning to Live With the New NormalAug 1, 2005By Matt Barthel IT TOOK SOME TIME, but the brokerage industry finally is coming to terms with the death in the family. In this case, the dear departed is a way of operating... |
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