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The Motley Fool
March 7, 2006
S.J. Caplan |
Financial Boot Camp for Military Personnel The NASD recently announced a new financial education program that targets military personnel.   |
Registered Rep.
August 1, 2005
John Churchill |
The Military Needs Protection Too The House of Representatives has approved a bill that would stiffen rules governing the way mutual funds, high-cost loans and other financial products are marketed to military personnel. |
Registered Rep.
June 1, 2005
Karen Donovan |
No More Slap on the Wrist Regulators are getting tough and creative on registered reps because they suspect that fines aren't a strong enough deterrent to stop illegal behavior. |
Investment Advisor
June 2007
Kara P. Stapleton |
News & Products NASD has fined two Fidelity broker/dealers for preparing and distributing misleading sales literature... The broker/dealers of ING plan to lower fees that their advisors pay on two core advisory programs... etc. |
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.
May 1, 2005 |
Blotter Not-So-Hot IPO: The NASD fined Thomas Weisel Partners for levying exorbitant commission charges on "hot" IPO shares... Expelled, Reinstated, Expelled: Brokerage firm LH Ross was officially expelled from the securities industry and fined... etc. |
Registered Rep.
August 20, 2004 |
Meting out Justice: NASD Issues 'Extraordinary Remedy' on Broker/Dealer for Market-Timing Abuse In its investigation, the regulator found that from January 2001 through August 2002, National helped four hedge fund clients conduct market-timing in 13 funds that prohibited or restricted such activity. |
The Motley Fool
May 24, 2007
Selena Maranjian |
Ten-Hut: About Insurance, Stocks Members of the U.S. military need to sort the good from the bad before they make their investments. Here's how. |
Registered Rep.
February 17, 2005
John Churchill |
NASD Charges American Funds with Directed Brokerage Violation Saying it's just as impermissible to make directed brokerage payments as it is to receive them, the NASD charged American Funds---one of the country's most reputable asset managers---with paying kickbacks to brokerages for selling its funds. |
Registered Rep.
January 12, 2006
John Churchill |
Schapiro in for Glauber at NASD 2007 The NASD Board of Governors announced today that Mary Schapiro, currently the self-regulator's head of Regulatory Policy and Oversight, will become the NASD's chairwoman when the term of its current chief ends in December 2006. |
Registered Rep.
April 1, 2005
Luxenberg & French |
A Pile of Reasons Regulators and broker/dealer management have gone overboard with mutual fund disclosure. Take the case of the B-share class of mutual funds. |
Registered Rep.
October 20, 2004
Will Leitch |
Tough Talk at SIA Mutual Fund Conference NASD Chairman and CEO Bob Glauber blasted the mutual fund industry for trying to shift the focus of SEC regulation away from the people it was intended to protect: the investors. |
Registered Rep.
October 1, 2004
Will Leitch |
RIAs Kickin' Back Three registered investment advisors were accused by the SEC of accepting cash payments from TD Waterhouse in return for putting client assets with Waterhouse. |
Registered Rep.
September 1, 2005
Karen Donovan |
Under Siege Executives of broker/dealer firms are not exaggerating when they say it seems like regulators are locked into a competitive battle to collect the most pelts on Wall Street. |
Registered Rep.
March 24, 2005
Kristen French |
Mutual Fund Enforcement Picks Up Steam On March 23, the SEC and NASD handed out fines in mutual fund-related punishments totaling more than $80 million to five firms. And that is likely just the beginning of a coming avalanche of similar regulatory actions, legal experts say. |
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. |
Registered Rep.
June 1, 2005
Will Leitch |
Edwards Weighing How to Settle A.G. Edwards is ready to talk about paying for its transgressions in the sale of Class B and Class C mutual fund shares. |
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. |
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.
November 1, 2006
John Churchill |
Blotter SEC Busts Another Ponzi... Broker Bends for Hedgies... NASD Says Firm Ignored Red Flags... |
The Motley Fool
September 18, 2007
Selena Maranjian |
Funds Are Getting Loaded There's an alarming new trend among mutual fund companies: They're phasing out many or all of their no-load mutual funds. Are these mutual fund worries reasonable or overblown? A little of both. |
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. |
National Real Estate Investor
October 15, 2003
Parke Chapman |
NASD Fines Wells REIT Sponsor For Rewarding Brokers Wells Investment Services, sponsor of Wells Real Estate Investment Trust (REIT), has been sanctioned by the National Association of Securities Dealers (NASD) for rewarding broker/dealer reps who sell shares of the REIT with non-cash gifts. |
AskMen.com
Jeff Wuorio |
Loaded Mutual Funds Never, ever buy a mutual fund that charges a load. |
The Motley Fool
November 11, 2009
Dan Caplinger |
This Awful Investment Should Just Die One market commentator has suggested that the Investor Protection Act could force brokers to stop selling a particular class of mutual funds, those known as "C" shares. |
Registered Rep.
December 21, 2004
Will Leitch |
Ed Jones Agrees to Pay $75 Million in Revenue-Sharing Case Edward Jones has agreed to a $75 million settlement with the SEC, the NASD and the New York Stock Exchange as punishment for failing to disclose to clients information about the firm's revenue-sharing arrangements with mutual funds. |
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. |
The Motley Fool
March 24, 2004
Selena Maranjian |
Buying Stocks With Your Home Refinancing your home in order to get capital to invest in the stock market may not be a good idea. |
Registered Rep.
November 1, 2005 |
Blotter Cooked Books... Direct Violation... Busted Market Timers... |
Registered Rep.
February 27, 2004
David A. Gaffen |
Regulators, Industry Still Divided On Mutual Funds David Brown, bureau chief of investment protection in the New York Attorney General's office, said insurance companies who sold mutual funds wrapped in variable annuities, along with banks and law firms, may end up becoming targets of Eliot Spitzer's ire in coming months. |
The Motley Fool
December 8, 2010
Jeff Rose |
3 Things to Consider Before Buying a Car If you are a member of the military, the decision-making process to buy a car can be even more difficult because of the amount of scams that have been on rise by dealers looking to take advantage of those serving our country. |
Financial Advisor
June 2004
Tracey Longo |
Compliance Overload A white-hot regulatory agenda is bedeviling independent broker-dealers in the U.S. |
Registered Rep.
February 1, 2006
John Churchill |
Size-ism? Ten years after the formation of the Small Firms Advisory Board, many small firms say they are still getting pushed around by bigger firms -- and this time the NASD is taking the side of the bullies. |
Investment Advisor
June 2006 |
B/d Briefing: News & Products At the Fidelity Executive Forum in late April, Fidelity Brokerage Company's National Financial (NF) clearing firm unit demonstrated a number of new services... For the first time in the history of the NASD, a father/son duo has been elected to the NASD board... etc. |
National Defense
February 2009
Sandra I. Erwin |
Special Ops Command:No New Equipment Needed The Pentagon began a major expansion of U.S. special operations forces two years ago, but contractors won't see increased purchases of new high-tech equipment for SOF units. |
Registered Rep.
November 5, 2003
Will Leitch |
NASD: Brokerages Owe $86M To Investors The summer 2003 scandal involving unpaid breakpoints -- sales-charge discounts that mutual fund companies provide investors who put in a certain amount in a selected fund -- might have been dwarfed by the market-timing scandal, but the SEC and the NASD haven't forgotten about it. |
Registered Rep.
October 26, 2004
David A. Gaffen |
Citi Fined by NASD for Hedge Fund Marketing Citigroup was censured and fined, but neither admitted nor denied the charges. A company spokeswoman said the firm "took immediate action in cooperating fully with the NASD to make sure all materials comply with current NASD guidance." |
Registered Rep.
May 17, 2006
John Churchill |
Monster Arbitration Ruling Against Ameriprise Unit An NASD Arbitration panel awarded 32 retired Exxon employees a total of $22 million in damages for losses suffered when their broker put most of their savings in variable annuities and B-share mutual funds. |
Investment Advisor
September 2006
James J. Green |
An Education Summit The Certified Financial Planner Board's annual meeting focused on improving financial literacy and financial eduction programs from elementary school on up. |
Registered Rep.
June 1, 2004 |
10 Years Ago in Registered Rep NASD warnings, again. |
National Defense
May 2007
Robert H. Williams |
Enhanced Communication-Information Centers Fielded U.S. military leaders in South Korea have received new command center technologies that were developed by the project manager of Defense Communications and Army Transmission Systems. |
BusinessWeek
September 11, 2006
Emily Thornton |
Staying Ahead Of The Scam Artists NASD's new chief is zeroing in on ways to prevent retirees from being bilked. |
Financial Planning
October 1, 2012
Janice Fioravante |
Readiness Training: Financial Planners Who Have Military Clients For financial planners who have military clients, the job often feels like a calling |
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. |
Registered Rep.
November 4, 2004
David A. Gaffen |
Serenity Reigns in Boca Raton Perhaps it was the recent victory of President Bush that heartened this business friendly crowd, or the tranquil Boca Raton setting, but the annual Securities Industry Association conference exudes an oddly serene tone. |
National Defense
April 2009
Sandra I. Erwin |
NFL-Quality Rehab For Some Wounded Warriors The military's elite warriors who are injured in combat will have access to medical care and rehabilitation services akin to the treatments given to the nation's superstar athletes. |
Financial Planning
November 1, 2006
Marianne Czernin |
Compliance Tips Registered reps have lots of eyes watching them. Supervisors, compliance personnel, sales directors, and operations all scrutinize reps' activities. But these aren't the only people interested in reps' movements. |
Financial Advisor
February 2010
Gail Liberman |
Military Security Holly Petraeus fights a war on American soil against financial rip-offs and naivete plaguing U.S. Service members. |
Registered Rep.
April 26, 2005
Kristen French |
A Pawn Takes the Queen Charles Elliott scores one for the "little guy," and proves that sometimes it pays for a broker to take on securities regulators, despite their financial and legal heft. |
Financial Planning
February 1, 2005 |
News Digest Sports Consortium Launched... ERISA Training Online... Morningstar IPO Still Coming... Online Seminar Kit Available From Fidelity... etc. |
