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The Motley Fool October 19, 2006 S.J. Caplan	When Brokers Break the Rules Investors do have some recourse if they feel they've been duped, and that recourse is on sale this month.
Entrepreneur January 2004 Marc Diener	Making Peace If you haven't yet considered mediation as a way to resolve business disputes, here's why you should.
Financial Planning December 1, 2005 Lynn Hume	Ameriprise to Pay $1.25 Million Fine for 529 Sales In a first-of-a-kind enforcement action, the NASD ordered the former American Express Financial Advisors to pay $1.25 million for failing to adequately supervise its sales of Section 529 college savings plans.
Registered Rep. March 17, 2003 Will Leitch	Unfair Disclosure For The Broker? In a little-publicized move, the NASD has formed a Public Information Review Initiative, which would radically expand investors' access to information about brokers.
Entrepreneur January 2007 Marc Diener	Put it in Neutral In the ordinary course of business, a lawsuit is the course of last resort. Litigation is expensive, time-consuming, mean-spirited and often unfair. Mediation offers a better way.
Registered Rep. April 1, 2007 Bill Singer	Clarence Darrow, You're Not Beware of water-cooler know-it-alls when it comes to legal advice regarding NASD violation issues.
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?
Investment Advisor March 2007 Kara P. Stapleton	News & Products National Financial announced February 1 that it is expanding its alliance program... NASD has warned older Americans about the potential downside of selling their existing life insurance polices... The SEC has authorized improvements to the NASD... etc.
Job Journal August 10, 2003 Bob Rosner	The Mediation Game First-rate preparation is key to getting the best from a third party.
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.
Commercial Investment Real Estate Jul/Aug 2009 Rich Rosfelder	Mediation Basics A slow real estate market is fertile ground for contract disputes. Certified commercial investment members (CCIMs) need to recognize alternative conflict resolutions mechanisms to arbitration.
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. 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. December 15, 2005 John Churchill	Court to NASD: You Don't Have a Leg to Stand On For the first time in its 68 years as a self-regulatory organization, the National Association of Securities Dealers sued the Securities and Exchange Commission over a right it was never granted. Guess what? It lost.
Registered Rep. March 1, 2007 Bill Singer	Don't Mess with Suspension Rules If you are like most working people, you go to the office every day. And, if you like your job, it can even be hard to stay away. But if you are a financial advisor and get a suspension from the NASD, don't give in to temptation. Stay away. Go on vacation.
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. 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?
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. 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. 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.
Financial Planning June 1, 2007 Marshall Eckblad	4 Questions Mary Schapiro is chairman and CEO of the NASD, which is set to merge later this year with the New York Stock Exchange. Here, she spoke about the new organization that she has been appointed to lead.
Investment Advisor April 2007	Group Think-April 2007 The SEC cuts fees charged to public companies... The NASD Investor Education Foundation launched a grant program... etc.
Registered Rep. August 21, 2006 Kristen French	NYSE and NASD Hold Merger Talks It is not yet clear whether a deal will actually go through, or whether the financial regulators would merge their arbitration systems or keep them separate.
Entrepreneur July 2005 Jane Easter Bahls	E-mediate Needs Caught in an e-commerce clash? Use an e-mediator.
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. 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 1, 2006 John Churchill	Schapiro in, Glauber Out at NASD in 2007 Mary Schapiro, head of NASD Regulatory Policy and Oversight, will be taking over for Robert Glauber as chairman of the NASD at the end of the year. One tough cop replaces another.
Registered Rep. June 1, 2004	10 Years Ago in Registered Rep NASD warnings, again.
Financial Planning February 1, 2007 Marshall Eckblad	5 Questions A short interview with Margaret Sheehan, author of Practical Guide to NASD Regulation about the outlook for the NASD in 2007.
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. October 1, 2006 Bill Singer	The Long Arm of NASD A registered rep with Northwestern Mutual Investment Services, helped found the Wisdom Mission Church, of which he was president: The NASD Investigates... SEC Review...
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. May 14, 2007 Kevin Burke	NASD Chair Sees Better Oversight of New Products Mary Shapiro told mutual fund executives she sees better regulation of investment products as a result of a merged NYSE and NASD. While this may be better news for investors, purveyors of mutual funds may find themselves in the crosshairs.
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 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. April 1, 2005 Bill Singer	Two-Tiered Justice? A recent SEC report shows that the NASD is far less enthusiastic about policing itself --- despite the fact that such self-regulation is part of its charter.
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.
Commercial Investment Real Estate Jul/Aug 2009	American Mediator This CCIM negotiates the contract-dispute obstacle course.
Financial Advisor November 2004 Gail Liberman	NASD Issues Alert On 529 Plans Brokerage offerings may be too limited. By buying out-of-state college savings plans, experts warn, investors sometimes miss out on important in-state tax advantages.
Registered Rep. October 1, 2004 David A. Gaffen	Sharp Words for the NASD From Raymond James' Averitt The CEO directed biting criticism towards NASD regulators currently investigating fee-based advisory practices. Advisors also pointed out that the asset allocation and investing processes are being left out of the equation.
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 28, 2005 Kristen French	Raymond James Fined, Plans to Drop Fee-Based Brokerage As part of the sanctions imposed by the NASD, if Raymond James doesn't discontinue its fee-based brokerage business, the firm will have to retain an independent consultant to oversee the creation of a supervisory system for the fee-based brokerage business.
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.
Investment Advisor June 2006	Group Think The SEC said it will reduce fees on securities transactions and registrations by $1 billion... The NASD issued a warning to investors that cashing out of their 401(k) assets at even a modest level can have a potentially devastating effect... etc.
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. 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.
Financial Planning September 1, 2006 Marianne Czernin	Compliance Tips Your Ongoing Commitment to the NASD: It's important to know that as a registered rep currently employed by a broker-dealer, your obligations to the NASD do not cease should you quit and decide to become a carpenter, congressman or pirate.
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 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 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.