Latest News- Retirees Ruined by Brokerage Fraud
July 4, 2008
Click here to read more... - Massachusetts Securities Division Files Complaint UBS Financial Services In Connection With the Sale of Auction Rate Securities
June 26, 2008
Click here to read more... - Morgan Stanley Bond Fraud -- Undisclosed Mark-ups. Lumbermans Mutual Kemper Insurance Company Bonds
May 24, 2008
Click here to read more... - Gunn Allen Fined $750,000 by FINRA
May 8, 2008
Click here to read more... - SEC Charges Banc of America Investment Services With Failing to Disclose It Favored Affiliated Mutual Funds
May 2, 2008
Click here to read more... - Auction-Rate
Debt Market
Faces Probe
April 18, 2008
Click here to read more... - AARP Study Reveals That When it Comes to Financial Jargon, Americans are Befuddled
April 18, 2008
Click here to read more... - 'Tricks of the trade' to air Sunday, April 13
'Dateline' insurance agents selling annuities to seniors
April 11, 2008
Click here to read more... - Useless advice from FINRA: Auction Rate Securities: What Happens When Auctions Fail March 31, 2008
March 31, 2008
Click here to read more... - UBS to Mark Down Auction-Rate Securities
March 29, 2008
Click here to read more... - Description of Merrill Lynch’s
Auction Rate Securities
Practices and Procedures
March 29, 2008
Click here to read more... - INVESTOR SUITABILITY AND THE APPLICATION OF MSRB RULES TO TRANSACTIONS IN AUCTION RATE SECURITIES
March 6, 2008
Click here to read more... - Merrill Lynch, Prudential Securities, Pruco and UBS Fined a Total of $2.4 Million
February 28, 2008
Merrill Lynch, Prudential Securities, Pruco and UBS Fined a Total of $2.4 Million; Wells Fargo Investments.
Click here to read more... - Auction Rate Preferred Shares.
February 27, 2008
Closed End Income Funds Illiquid and Unmarketable. Sold to Unsuspecting Investors.
Click here to read more... - Morgan Stanley Broker Charged With Stealing $400,000 from Widow and her Charitable Foundation
February 21, 2008
FINRA Press Release Fails to Disclose Broker's Association with Morgan Stanley at the time the Theft is Alleged to Have Occured.
Click here to read more... - SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors
February 14, 2008
Click here to read more... - New Hampshire Charges Ameriprise with Fraud
February 13, 2008
Click here to read more... - Credit Crisis: Where Was The SEC?
February 6, 2008
Click here to read more... - Merrill Lynch Charged in Connection with the Sales of Unsuitable Collateralized Debt Obligations (CDOs)
February 6, 2008
Click here to read more... - Perception of Fairness of Securities Arbitration -- An Empirical Study
February 6, 2008
Click here to read more... - Banc One Securities Corporation Annuity Fraud
January 30, 2008
Click here to read more... - Morgan Stanley – Eastman Kodak Retiree Fraud
January 20, 2008
Click here to read more... - MORGAN STANLEY CONSENTS TO $17 MILLION
SETTLEMENT IN RELATED ADMINISTRATIVE PROCEEDING
December 20, 2007
Click here to read more... - SEC Sues to Halt Fraudulent Options Trading Scheme
December 12, 2007
SEC v. Charles P. Trigilio, Case No. CV-07-06269-CAS (AGR) (C.D. Cal. filed September 27, 2007)
Click here to read more... - the Arbitration Fairness Act of 2007
December 12, 2007
Director, Illinois Securities Department
Illinois Secretary of State
On behalf of the North American Securities Administrators Association Before the
United States Senate Committee on the Judiciary
Constitution Subcommittee
"S. 1782, the Arbitration Fairness Act of 2007"
Click here to read more... - FINRA Fines Wachovia Capital Markets $300,000 for Deficient Disclosures in Research Reports
November 28, 2007
Click here to read more... - FINRA Publishes Guidance, Text for New Rule Governing Deferred Variable Annuity Transactions
November 15, 2007
Click here to read more... - FINRA Reminds Member Firms of Their Obligations Regarding Background Investigations of Prospective Personnel
November 15, 2007
Click here to read more... - FINRA Expels Franklin Ross, Inc. for Systemic Violations of Anti-Money Laundering Rules
November 7, 2007
Click here to read more... - FINRA Publishes Guidance, Text for New Rule Governing Deferred Variable Annuity Transactions
November 7, 2007
Click here to read more... - FINRA/NASD Dispute Resolution Statistics Released
November 6, 2007
Click here to read more... - The pitch: Retire early. The catch: Brokers want your cash
November 5, 2007
Click here to read more... - Oppenheimer & Co. fined $1M by FINRA
October 30, 2007
Click here to read more... - FINRA Identifies Energy Stocks as Latest "Pump and Dump" Scheme
Click here to read more... - Morgan Stanley May Face Wave of Suits After Admitting It Withheld E-Mail Evidence
October 25, 2007
Click here to read more... - FINRA Fines UBS Financial Services $370,000 for Late Reporting, Failing to Report Broker Information
October 25, 2007
Firm Was Late With More Than 550 Disclosure Filings Relating to Customer Complaints, Regulatory Actions and Criminal Disclosures; Firm Failed to Disclose Customer Complaints in 24 Other Instances
Click here to read more... - Arbitration's the way to go, says SIFMA
October 24, 2007
Click here to read more... - Jury finds Merrill liable for $6 million
October 23, 2007
Click here to read more... - New Hampshire State Securities Regulators charge Ameriprise with fraud
October 23, 2007
Click here to read more... - Maximum Financial Group, GunnAllen Former Financial Inc. of Tampa, Questar Capital Corp. Broker Under Scruitiny for Limited Partnership Investment Fraud
October 15, 2007
Frank Bluestein Under Scruitiny For Limited Partnership Fraud
Click here to read more... - CITIGROUP GLOBAL MARKETS INC. FINED $2.5 MILLION FOR FAILURE TO DELIVER PROSPECTUS
October 11, 2007
Click here to read more... - BANC OF AMERICA SECURITIES LLC FINED FOR FAILURE TO SUPERVISE
October 11, 2007
Click here to read more... - Wachovia Securities Fined for Failure to Delivery Prospectuses
October 11, 2007
Click here to read more... - Morgan Stanley to pay $7.5 mln for charges-SEC
October 10, 2007
Click here to read more... - Attorney General Lori Swanson Settles Suit Against Allianz
Allianz will provide restitution to seniors and implement more stringent suitability processes
October 9, 2007
Click here to read more... - Rutgers Securities Litigation and Enforcement -- Securities Arbitration Outline
Click here to read more... - Rutgers Securities Litigation and Enforcment Class
October 6, 2007
http://www.finra.org/ArbitrationMediation/ResourcesforParties/NoticestoParties/p037078
Click here to read more... - Arbitration Discovery Fund - Morgan Stanley & Co
Click here to read more... - FINRA Board Approves Rule to Limit Motions to Dismiss in Arbitrations
September 26, 2007
Click here to read more... - Can Brokers Erase
The Past Too Easily?
Click here to read more... - Fraud Fighting 101: Smart Tips for Older Investors
September 21, 2007
Click here to read more... - Senior Citizen Investment Fraud Study
September 10, 2007
Click here to read more... - Merrill Lynch Pays $125 million
September 7, 2007
Click here to read more... - Commonwealth Equity Services, LLP. Failure to Supervise
September 7, 2007
SEC charges failure to supervise against Commonwealth Equity Services
Click here to read more... - FINRA Fines AXA Advisors $1.2 Million
September 6, 2007
Click here to read more... - Legacy Financial closes shop
September 6, 2007
Click here to read more... - FINRA eyes Mutual Service Corp.
for VA oversight
August 29, 2007
Click here to read more... - NASD Fines Merrill Lynch $5 Million
August 28, 2007
Click here to read more... - Prudential Investment Management Fraud
August 24, 2007
Click here to read more... - SEC's New Rule Prohibits Hedge Fund Advisers From Engaging in Fraudulent Acts
August 17, 2007
Click here to read more... - FINRA Fines Morgan Stanley $1.5 Million, Orders $4.6 million In Restitution To Customers Overcharged in Corporate Bond Sales
Click here to read more... - Court Approves $100 Million Settlement in Class Action Against American Express Financial Advisors
July 27, 2007
Click here to read more... - Citigroup/Smith Barney Pays $5 Million to State of New Jersey for Deceptive Activities
July 25, 2007
Click here to read more... - Securities America Fined $375,000 for Improperly Sharing Directed Brokerage Payments, Failing to Ensure Broker Disclosed Additional Compensation to Retirement Plan Clients
July 11, 2007
Click here to read more... - NASD Settles Cases Against MML Investors Services, NYLIFE Securities, Securities America and Northwestern Mutual Investment Services for Fines Totaling over $1.2 Million for Failures Relating to Mutual Fund Sales
July 5, 2007
Click here to read more... - NASD Fines Wells Fargo Securities $250,000 for Failing to Disclose Analyst's Employment with Covered Company in Research Report
June 28, 2007
Click here to read more... - NASD Fines Wachovia Securities $2 Million for Fee-Based Account Violations NASD Orders Firm to Identify and Pay Restitution to Approximately 1,300 Customers
June 28, 2007
Click here to read more... - Brookstreet Securities Goes Belly-Up!
June 28, 2007
Click here to read more... - Underwriting Practices Get Shield
Click here to read more... - Citigroup Global Markets to Pay Over $15 Million to Settle Charges Relating to Misleading Documents and Inadequate Disclosure in Retirement Seminars, Meetings for BellSouth Employees
June 6, 2007
Click here to read more... - NASD Fines HSBC Brokerage for Failure to Supervise Government Securities Transactions for Best Execution
Firm Routed Orders Internally for Over a Year Without Adequate Controls In Place
May 31, 2007
Click here to read more... - Another Is Arrested Morgan Stanley Insider Probe Widens
May 14, 2007
Click here to read more... - Morgan Stanley Will Pay $8 Million to Settle Fraud Case
Click here to read more... - Touting "China" Stocks Latest "Pump and Dump" Scheme, NASD Alert Says
April 26, 2007
Click here to read more... - AMERICAN EXPRESS FINANCIAL ADVISORS
AMERIPRISE FINANCIAL SERVICES CLASS ACTION SECURITIES LITIGATION
March 28, 2007
INVESTORS BEWARE! BY DOING NOTHING YOU ARE GIVING UP YOUR RIGHTS TO SUE!
Click here to read more... - SEC Approves Revision of Customer and Industry Portions of NASD Code of Arbitration Procedure
March 1, 2007
Click here to read more... - Merrill Lynch and Mutual Funds Settle Suits Over Internet Companies
February 14, 2007
Merrill Lynch has settled three class action lawsuits that claimed it provided misleading analyst research about Internet companies to purchasers of mutual funds.
Click here to read more... - NASD Fines Banc of America Investment Services, Inc. $3 Million for Failing to Comply With Anti-Money Laundering Rules in Connection With High Risk Accounts
February 1, 2007
Click here to read more... - Deutsche Bank to Pay $208 Million In Spitzer Market-Timing Settlement
January 12, 2007
Click here to read more... - Edward Jones, RBC Dain Rauscher, Royal Alliance, and Morgan Stanley to Pay an Estimated $43.8 Million in Remediation to Customers; Morgan Stanley Credited For Taking Remedial Measures
December 13, 2006
Click here to read more... - NASD Fines Chase Investment Services, MetLife Securities $500,000 Each for Supervisory Violations in 529 College Savings Plan Sales -- Firms Also Ordered to Pay More than $660,000 to Compensate Customers
November 14, 2006
Click here to read more... - NASD Fines Citizens Bank Affiliate, CCO Investment Services Corp., $850,000 For Supervisory, Recordkeeping, Telemarketing, Other Violations
October 19, 2006
Click here to read more... - Securities Class Action - New Filings
October 10, 2006
Click here to read more... - Securities firm settles claim it misled clients
October 5, 2006
Click here to read more... - Class Action Case Summaries
October 3, 2006
Click here to read more... - Prudential Securities, Inc. Ordered to Pay Regulators $600 Million to Resolve Fraud, Other Charges Relating to Improper Market Timing
September 1, 2006
Click here to read more... - Investors Win Rare Victory Against Analyst Over Tyco Stock Pick
August 1, 2006
Click here to read more... - NASD Fines Citigroup, Credit Suisse and Morgan Stanley $775,000 For Deficient Price Target, Ratings, Other Disclosures in Research Reports
July 21, 2006
Click here to read more... - NASD Foundation Study Examines What Makes Elderly Susceptible to Investment Fraud (PDF)
July 21, 2006
Click here to read more... - Class Action News
July 18, 2006
Click here to read more... - Securities Class Action - Weekly News
June 27, 2006
Click here to read more... - Milberg Weiss Case Highlights
Click here to read more... - Google Click Fraud Settlement Hits Snag
June 7, 2006
Click here to read more... - NASD Fines LaSalle Street Securities $200,000 for Supervisory Violations Related to Fraudulent Schemes Perpetrated by Broker Frank Devine
June 2, 2006
Click here to read more... - SOME NEWLY FILED CLASS ACTIONS:
Click here to read more... - NASD Changes the Code of Arbitration Procedure
May 19, 2006
Click here to read more... - Texas Brokerage Firm Salomon Grey Financial Expelled for Widespread Violations of NASD Rules
Firm's Owner, Kyle Browning Rowe, Permanently Barred
Texas Brokerage Firm Salomon Grey Financial Expelled for Widespread Violations of NASD Rules Firm's Owner, Kyle Browning Rowe, Permanently Barred
Click here to read more... - SOME NEWLY FILED CLASS ACTIONS:
May 3, 2006
Click here to read more... - Marshall v. Marshall
May 1, 2006
Marshall v. Marshall
Click here to read more... - NASD Updates Mutual Fund Breakpoint Search Tool
April 27, 2006
Click here to read more... - Securities Class Action - New Filings
April 25, 2006
Click here to read more... - Morgan Stanley May Pay $15 Million Over E-Mail Destruction
April 25, 2006
Click here to read more... - NASD Hearing Panel Suspends, Fines Former GunnAllen Broker for Threatening Public Company
April 20, 2006
Broker Intimidated Company by Threatening to Drive Down Stock Price
Click here to read more... - SECURITIES FRAUD LAWSUITS AND INVESTOR LOSSES DROP SIGNIFICANTLY IN 2005
April 18, 2006
STABLE STOCK PRICES AND IMPROVED GOVERNANCE ARE POSSIBLE CAUSES OF THE DECLINE
Click here to read more... - International Arbitration and Mediation
April 18, 2006
International Arbitration and Mediation - From the Professional's Perspective Salzburg, Austria Thursday, 15 June 2006 - Sunday, 18 June 2006
Click here to read more...
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