Similar Articles

Browse Main Topics:

Business
Computers & Electronics
Education & Reference
Entertainment & Leisure
Family & Home
Finance & Investment
Health
Internet
Pets & Animals
Science & Technology
Society, Politics & Culture
Sports & Recreation

Similar Articles

Registered Rep. January 12, 2004 Will Leitch	Extended Life for Controversial NASD Initiative A controversial NASD initiative that would give investors easy access to complaints against brokers is undergoing some change, but it's looking increasingly likely to come to fruition.
Registered Rep. April 8, 2003 Will Leitch	SIA Calls NASD Proposal Unfair The Securities Industry Association has weighed in negatively on the NASD's proposed changes to the handling of central registration depository (CRD) complaints.
Registered Rep. August 28, 2002 Rick Weinberg	NASD Looks To Approve Broker, Brokerage Firm Use of Investment Analysis The NASD is looking to approve a proposal that would allow brokers and brokerage firms to provide clients with interactive investment analysis tools.
Registered Rep. January 1, 2003 Bill Singer	Who Regulates the Regulators? In the securities industry, brokers are expected to follow the rules. If you don't, you will be held accountable by the NASD. But what do you do if the NASD doesn't follow the law?
Registered Rep. May 1, 2004 Will Leitch	Out, Damn Spots Already, stockbrokers have located a loophole in a NASD instituted a rule meant to prevent stockbrokers from, in effect, buying their way out of client complaints.
The Motley Fool July 18, 2007 Selena Maranjian	Check Out Your Broker Finding the perfect broker to whom you would entrust your hard-earned money is difficult. "BrokerCheck," a new online tool from NASD, makes it easier to weed out the unscrupulous ones.
Registered Rep. September 3, 2003 David Gaffen	NASD: Brokers With Complaints Need A Watchful Eye Heed the red flags. This is the thrust of a new NASD proposal that would require brokerage houses to devote extra supervision to reps with extensive numbers of complaints or regulatory actions against them.
Registered Rep. September 28, 2004 David A. Gaffen	The NASD Has Clients' Number The organization will be increasing its use of unsolicited phone calls to clients within the course of investigations into broker/dealer activities -- including calls to clients who have not lodged complaints, which has angered executives.
Registered Rep. January 8, 2003 Will Leitch	NASD: Firms Are Overcharging Clients The NASD, acting on a tip acquired during an investigation, has sent several brokerage firms word that it has discovered brokers are not providing earned discounts to mutual fund investors, therefore overcharging them.
The Motley Fool March 21, 2007 S.J. Caplan	Check Out Your Broker A redesigned website tells you what you need to know before you invest.
The Motley Fool December 17, 2003	Investigate Your Broker How to check on your stockbroker, to see if he's gotten in hot water in the past.
Registered Rep. March 1, 2003 Will Leitch	Doing the NASD After waiting more than a year for face time with the NASD, a dissident group finally got the opportunity to air its grievances. Problem is, now it's required to keep quiet about the meeting.
Registered Rep. February 19, 2010 Christina Mucciolo	FINRA Seeks to Expand BrokerCheck, Make Some Records Permanent The Financial Industry Regulatory Authority announced it is seeking the SEC's approval to expand the amount of information made public on current and former brokers' permanent records in its free online CRD database, BrokerCheck.
The Motley Fool May 20, 2004 Tim Beyers	American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest?
Registered Rep. December 4, 2006 Kevin Burke	FIA Urges NASD Committees to Revise Merger Small broker/dealer firms are trying to slow the proposed merger between the NASD and NYSE Regulation, saying that it's being pursued too hastily and the consequences are not clear.
Registered Rep. February 1, 2003 Will Leitch	NASD Investigates Potential Breakpoint Violations The confusing slew of regulations that have followed on the heels of the Sarbanes-Oxley Act has tapped a strange feeling in brokers: the fear of violating securities rules unwittingly. A recent investigation by the NASD shows their worries are not unfounded.
Registered Rep. October 1, 2002 Rick Weinberg	Brokers Fear Arbitration... With arbitration cases on the rise, many brokers are worried about the prospect of being dragged through a legal process that, because of the current environment, some believe is heavily slanted toward the client.
Registered Rep. January 27, 2004 John Churchill	New Rule Makes Clearing Your Record Harder Brokers can expect a new rule that will make removing customer complaints and disciplinary actions from their public records much more difficult.
Financial Advisor April 2004 Tracey Longo	Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly.
Registered Rep. June 1, 2004	10 Years Ago in Registered Rep NASD warnings, again.
Registered Rep. February 11, 2004 John Churchill	Dueling Trend Lines on Complaints Brokers have become more attuned to investor complaints in recent years, but they must be forgiven if they're having a hard time drawing conclusions from the trend numbers reported by regulators.
Registered Rep. December 1, 2002 William A. Jacobson	Happy New Year, Maybe. In the Chinese calendar, 2002 was the Year of the Black Horse. For stockbrokers, 2002 is the Year to Forget. But now is the time to prepare for 2003. While everyone's situation is different, here are some general suggestions with regard to the legal aspects of your career.
Registered Rep. March 1, 2006 Kristen French	Gimme an F! At least one aspiring broker wants retribution after the NASD mistakenly gave him a failing grade on his Series 7 exam last October.
Registered Rep. November 1, 2005	Supplemental Inquiry Q: Is there any way my employer can find out if I receive W-2 income from other sources... Q: Recently at a social event, a co-worker's client told me another local broker (who is a competitor) had made some disparaging remarks about my co-worker... etc.
Registered Rep. January 6, 2006 Halah Touryalai	NASD Mistakenly Failed Nearly 2,000 Aspiring Brokers Who Took Series 7 Last Year The NASD reported today that it is notifying 1,882 individuals that they wrongly received failing grades as the result of a software error.
The Motley Fool May 23, 2007 Selena Maranjian	Brokerage-Related Warnings There's a lot of information for investors at the NASD website. Here are a few topics about which it has recently issued alerts.
Registered Rep. October 26, 2006 Kevin Burke	NASD Fines B/D for Account Transfer Charges A small independent broker/dealer was slapped with a $50,000 fine and sanctioned for overcharging more than 1,500 customers who decided to follow their brokers to another firm.
Registered Rep. March 1, 2007	Correction In "The Glitch" (January 2007), it was reported that NASD had not corrected the CRD record of former Piper Jaffray broker trainee Mark Schley... etc.
Registered Rep. December 6, 2006 Kevin Burke	FIA Calls for Schapiro to Resign Two groups of small broker/dealer firms are calling for Mary Schapiro to step down.
Registered Rep. October 25, 2006 Halah Touryalai	Another One Bites the Dust: Broker Fined Record Amount for Market-Timing Scheme The NASD fined Paul Saunders, a registered rep, CEO and majority owner of James River Capital Corporation, $2.25 million. That sum represents the largest fine against an individual for marketing timing, including disgorgement of about $750,000 in illegal profits.
The Motley Fool August 30, 2007 Selena Maranjian	A Better Way to Check Your Broker? A former SEC guy is aiming to help you steer clear of ne'er-do-wells. Meanwhile, make sure that the brokerage you're using is best for your needs. Odds are, you can find a better brokerage that charges you less or offers more services.
Registered Rep. August 17, 2005 Kevin Burke	NASD Tightens Noose on Hedge Fund Sales Practices A top National Association of Security Dealers official said on Wednesday that the regulatory agency has launched an investigation into brokers selling hedge funds to individual investors without alerting them to the potential risks.
Registered Rep. August 26, 2003 Will Leitch	NASD Sets Guidelines On Giving Money Back The Joint NASD/industry task force released its study on breakpoints last month, confirming that millions are owed to clients by firms for not applying discounts on breakpoints. The NASD is now making sure the firms know exactly how to rectify the situation.
Registered Rep. January 1, 2005	An Encouraging Sign Is the worst of the arbitration onslaught over? Through October, there were 7,008 complaints filed with the NASD.
Registered Rep. April 7, 2005 Kristen French	NASD Advocates More Disclosure, Less Paper Broker/dealers and their reps may get a big break on point-of-sale disclosure if the Securities and Exchange Commission heeds recent NASD advice.
Registered Rep. November 29, 2006 Kevin Burke	Small Firms Move to Block NYSE/NASD SRO Merger Not everybody is cheering the formation of a single self-regulatory organization. An insurgency of small brokerage firms is urging their peers to strike down yesterday's announced merger between the regulatory arms of NYSE and NASD.
Registered Rep. November 30, 2005 Kristen French	Wachovia Shaves Payout, Levels Charges on In-House and Outside SMAs After simplifying it's payout structure earlier this year, Wachovia Securities announced that it would make some more tweaks in 2006 and raise ticket charges on some in-house money-management products to match those of third-party products.
Registered Rep. January 1, 2005	Blotter John Van, head of Murphy Van Securities, was barred from the industry... The NASD fined 29 firms a total of $9.2 million for late reporting... The NASD's mutual fund task force released its initial report...
Registered Rep. November 1, 2005 Lauren Barack	Will Reform Drive Brokers From 529 Sales? Emerging from 529 college savings plan hearings is a proposal for new disclosure guidelines aimed at giving consumers more knowledge about various plan choices at the point of sale. However, these guidelines may drive reps and financial advisors out of the 529 business.
Registered Rep. December 1, 2004 Mindy Diamond	Packing the Parachute Success in the brokerage industry can be as much about mindset as anything else, so it comes as little surprise that advisors avoid negative thoughts, such as the potential necessity of a quick exit from their practice.
Registered Rep. October 1, 2006 Halah Touryalai	Mediation Mambo If you've got legal trouble, October may be your lucky month: It's "mediation month" sponsored by the NASD.
Registered Rep. January 1, 2003 Nicholas Ferber	Switching Has Changed During trying times like these, many reps are looking to switch jobs. When pondering a move, no question occupies more time or discussion between brokers, hiring managers and (sometimes) recruiters than the following: "What's in it for me?"
The Motley Fool March 22, 2011 Dan Caplinger	This Will Make You a Smarter Investor There's more to smart money management than just picking great stocks. Increasingly, it's becoming just as important to find the right discount broker to give you the best and least expensive access to the investments you want.
Registered Rep. October 1, 2002 Jonathan P. Arfa	First, Hire the Lawyers With heavy investor losses, customer claims filed with the NYSE and the NASD are expected to hit an all-time high in 2002. What should a broker do if they are the target of a complaint?
Registered Rep. March 12, 2007 John Churchill	NYSE/NASD Merger Attracting Lawsuits A California broker/dealer who has sued to stop the merger of the NYSE and the NASD is looking for like-minded folks to join its cause.
Registered Rep. July 1, 2004 Gregg Wirth	It's the Advice, Stupid The NASD's probe definitely has many brokers and branch managers in the industry nervous. They are unsure exactly what regulators are looking for, what constitutes a violation and what, if any, penalties could be levied.
Registered Rep. September 10, 2002 Rick Weinberg	Pitt Tells NASD, NYSE to Hear California Arbitration Cases Pitt told the exchanges in a letter dated Sept. 5 that they have to "immediately" provide California investors access to arbitration panels in the state or some other forum to dispute claims.
Registered Rep. May 1, 2006 Bill Singer	Writing the Firm's Bible If NASD Rule 3010, which governs Written Supervisory Procedures, is so important a rule, how about free classes to ensure that the public is fully protected and the industry suitably trained, instead of the mercenary $1,000.00 seminar currently offered?
The Motley Fool March 5, 2004 Selena Maranjian	What Stockbrokers Really Do Brokers are agents who take and fill your orders to buy and sell stocks and other securities. A former broker revealed to us how he was trained and under what conditions brokers often work.
Investment Advisor May 2006 Ryan G. Murphy	B/D Briefing: News & Products Fines, Complaints, Mergers: The NASD fined American General Securities Inc... NASD announced the promotion of James Shorris... Raymond James Financial selected PlanningStation... etc.