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Registered Rep.
December 20, 2005
Halah Touryalai |
Broker Cleans Up Millions From Dirty Campaign Charges A broker won nearly $10 million from his former employer, Waddell & Reed, last week -- six years after first suing the broker/dealer for smearing his reputation and eight years after being fired in the wake of his testifying against the firm at an SEC hearing.   |
Registered Rep.
August 1, 2005
Bill Singer |
The High Price of Foot Dragging Contesting arbitrations is often a smart move -- especially for financial reps who believe they were unjustly accused or that the settlement demanded by the customer is excessive. |
Registered Rep.
August 16, 2006
Karen Donovan |
Put It in Writing: Investors Want Arbitrators to Explain Their Awards Lawyers who represent investors in securities arbitrations hope that a proposed NASD rule -- which would give them the option of demanding written explanations from arbitration panels that hear their disputes against brokerage houses -- will take effect soon. |
BusinessWeek
August 16, 2004
Emily Thornton |
The Brokers Strike Back Wall Street to investors: Beware of suing your brokers -- they might just sue you back. |
Registered Rep.
May 20, 2003
Ross Tucker |
Waddell and ING Rift Deepens Over Advisor Defections The defection of over 30 Waddell & Reed advisors in the New York and Connecticut region to Washington Square Securities (WSSI), an ING affiliate, has driven a wedge between the firms. |
Registered Rep.
August 1, 2006 |
Unbreakable Promises Q: Isn't it standard in the industry to prorate notes over the entire period employed? Do we have any recourse?... A: It's way too late in the game for you to be wondering about how proration of promissory notes works in the industry... etc. |
Registered Rep.
April 1, 2005
Richard A. Roth |
Keep It Dark Though one function of the NASD is to police its member firms and protect investors, another of its functions is to provide a fair and just arbitration forum for dispute resolution. The NASD should protect the sanctity of the process by ensuring that all parties are treated equally and fairly. |
Registered Rep.
January 16, 2004
John Churchill |
NASD Charges Waddell & Reed With Violations The NASD Wednesday slapped Waddell & Reed with more than 6,700 complaints, charging that the firm systematically encouraged brokers to recommend unsuitable variable annuity exchanges to its customers. |
Registered Rep.
May 1, 2006
French & Palmer |
The Argument Over Arbitration While investment-related arbitrations are supposed to be cheaper and more expeditious than trials in civil court, many say that these advantages have diminished in recent years, and that all too often the proceedings just look like outtakes from The Gong Show. Is there a better way? |
Registered Rep.
May 13, 2003
Ross Tucker |
Mass Defections at Waddell & Reed An en masse defection of advisors from several Waddell & Reed offices in the New York and Connecticut region has begun, according to a former executive closely involved in the situation. |
The Motley Fool
July 21, 2011 |
Waddell & Reed Financial Earnings Preview Investors brace for a bumpy ride ahead of Waddell & Reed Financial's earnings announcement, because during the past fiscal year the company has wavered between beating and falling short of analyst predictions. |
BusinessWeek
August 13, 2007
Lewis Braham |
Want To Take On Your Broker? Investors' odds have shrunk in recent years. Even if you win, don't expect a windfall. |
The Motley Fool
April 26, 2006
Tom Taulli |
Waddell & Reed Abides One of the oldest mutual fund companies is also one of the steadiest. Investors, take note. |
