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Registered Rep.
March 1, 2007
Karen Donovan |
Defamed? Chaskie Rosenberg is hoping to win the right to go back to the trial court to pursue his claim for defamation damages against MetLife. The case has ramifications that could affect the entire financial-services industry.   |
Registered Rep.
March 30, 2007
Halah Touryalai |
Defamed? Tough Luck. NY Court Says You Can't Sue Your Firm for U-5 comments Brokerage firms won a round in an ongoing battle over what they can and can't say about departing brokers on their U5 records. |
Registered Rep.
April 1, 2008
John Churchill |
The Failure Chain Consider the curious and rather grotesque case of Gary J. Gross, a financial advisor from Boca Raton, Fla. Gross' U4 is close to 100 pages long, and lists 35 customer complaints. |
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? |
Entrepreneur
December 2005
Jane Easter Bahls |
What Did I Say? Your problem employee has finally left. But shortly after his departure, you receive a call for a reference. Can you give an honest assessment? |
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. |
On Wall Street
October 1, 2010
Chris Kentouris |
Finra Wants More Details When Someone Gets Canned Advisors, take note: FINRA wants broker-dealers to provide more detail on the reasons for dismissing an employee in reports to the regulator. |
National Defense
September 2014
James C. Fontana |
Attorney-Client Privilege in Fraud Suits at Risk Government contractors typically maintain ethics compliance programs, which are mandated by the Federal Acquisition Regulation and are part of the industry's best practices. |
On Wall Street
November 1, 2012
Bill Willis |
What to Do After You're Fired Steps you should take if you are terminated. |
Registered Rep.
February 10, 2012
Diana Britton |
Yield of Dreams: Son Chronicles Battle with Father for Family's Firm Tread lightly on bringing family into the business, because blood only runs so deep. |
On Wall Street
January 1, 2011
Alan J. Foxman |
Keeping Current Investment advisors write in for some advice concerning state and federal regulations. |
Registered Rep.
April 1, 2006 |
Mudslinger Stains Q: I've been a broker for 22 years and worked for two of the largest brokerage firms in the world. Several years ago, I received a phone call from a long-standing client, who'd received something strange in the mail... A: Document what is taking place... etc. |
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. |
Wall Street & Technology
July 1, 2005
Maria Santos |
Fast Facts According to the Securities Industry Association's 2004 Investor Survey, nine out of 10 investors are "very" or "somewhat" satisfied with the service provided by their investment professional. |
Job Journal
August 17, 2008
Lindsey Novak |
Career Pros: The Facts About Firings Employer rules and employee rights regarding terminations. |
Registered Rep.
August 1, 2006
Mindy Diamond |
Essential Reading Pay attention to your records. That's what financial advisors are always telling their clients, and they should think the same way about keeping track of their own personal and professional files. Unfortunately, not every advisor does, and their ignorance can cost them dearly. |
On Wall Street
May 1, 2011
Alan J. Foxman |
New York Or Bust Readers ask about licensing requirements, one-person operations, and moving to a new firm. |
Financial Planning
September 1, 2007
Laura A. Candris |
Manager No-No's Disgruntled employees can sue employers at any time. Here are some common employee relations mistakes management should avoid. |
Registered Rep.
January 1, 2006
Kristen French |
Help Wanted Securities Industry employment topped the 800,000 mark in November for the first time since February 2002. |
Registered Rep.
July 1, 2005
Christopher O' Leary |
The Fund Family That Said No While in the past few years many funds sued by regulators have been quick to settle, American, the second-largest fund family in the U.S. with $650 billion in assets is fighting back. |
Investment Advisor
April 2007
Kara P. Stapleton |
News & Products Mary Schapiro, NASD Chairman and CEO, announced that the regulatory consolidation between NASD and NYSE Member Regulation is on track... Securities America, Inc. launched a new Assistant of the Year program... etc. |
CFO
August 1, 2012
Vincent Ryan |
High Court Upholds Health-Care Reform The Supreme Court's ruling leaves companies with decisions to make. |
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.
May 1, 2004 |
Cutting the Pace of Cost-Cutting New numbers from the Securities Industry Association suggest that cost-reduction efforts are easing. |
Registered Rep.
September 14, 2006
Halah Touryalai |
NASD Fines Securities America for Failure to Supervise Securities America was fined $2.5 million for failing to supervise an advisor who allegedly lured clients into early retirement with exaggerated promises of high returns. |
Registered Rep.
April 1, 2006
Mindy Diamond |
On the Rebound Big firms are sending low-producing brokers messages that they are no longer as wanted as they once were. Brokers who see the handwriting on the wall, may have better options if they jump to another firm before being pushed. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
Investment Advisor
September 2010
Angela Herbers |
The Fast Track: The Six Most Common Problems with Employees Owner advisors, read this column, then give it to your employees. |
Investment Advisor
April 2009 |
B/D Briefing: News & Products The latest from the broker/dealer world. |
Registered Rep.
April 5, 2012
Josh Brown |
Data Dive: Where Brokers Get a Second Chance From Brightscope's research, we learn that Wells Fargo is the most "forgiving" of the large brokerages with a whopping 1.29% of their reps having been terminated before. |
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
July 2012
David Lawrence |
Departing Employees Regardless of circumstances, you need a plan for handling transitions. |
Registered Rep.
July 27, 2005
Kristen French |
NASD Sanitizes Arbitration Panel: Public Arbitrators Must Be Public Securities arbitration panels, which resolve the vast majority of investment disputes between clients and brokers, are typically made up of two public arbitrators and one industry arbitrator, a system that is intended to tip the scales in favor of the public. |
Job Journal
July 27, 2008
Marty Nemko |
Quick Fix: Why Your Boss Doesn't Praise You A manager's motive for not giving a "Good Job." |
OCC Bulletin
April 9, 2002 |
Risk-Based Capital A final rule permits banks to reduce the risk weight on certain claims against qualifying securities firms from 100 percent to 20 percent... |
Registered Rep.
August 7, 2007
Kristen French |
Senior Fraud Crackdown Continues The second annual "Seniors Summit" is meant to examine ways in which regulators and other groups can help prevent the overwhelming amount of senior fraud being committed in the securities industry. |
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.
July 30, 2003
Will Leitch |
Securities Industry Registers Slight Employment Uptick Securities firms have begun adding employees again, according to statistics from the Securities Industry Association and the Labor Dept. |
On Wall Street
November 1, 2008
Alan J Foxman |
Caught in the Middle In an arbitration lawsuit one advisor was named as respondent, one wasn't -- and now both have problems to deal with. |
