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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. 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. July 30, 2003 Will Leitch	SIA Says "Me Too" on Sales Fee Investigations Amid the brewing investigations into mutual fund sales practices, the Securities Industry Association came out last week in support of the new Joint NASD/Industry Task Force.
Wall Street & Technology March 2, 2004 Jessica Pallay	Give Me a Break Breakpoints may give investors a break, but Wall Street's CIOs are working overtime to comply with regulators' wishes.
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. December 9, 2003 Will Leitch	Raymond James Audits Itself In the wake of last week's news that regulators have recommended "enforcement action" against Raymond James Financial for failure to offer clients breakpoints, the Florida-based brokerage has called for an all-hands-on-deck audit of its mutual fund trading.
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?
The Motley Fool October 28, 2005 Dayana Yochim	Great Commercial. Good Broker? Investors, ignore the clever ad campaigns of brokerage firms and focus on what's best for your wallet. Here's a brief guide to choosing a broker.
The Motley Fool October 27, 2009 Dan Caplinger	How You Can Become the Next Super-Investor Get the tools you need to succeed with your investments.
The Motley Fool May 15, 2008 Dan Caplinger	Don't Pay Your Broker for Free Funds No-load funds don't cost a dime to buy -- except from some brokers.
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. 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 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.
Entrepreneur January 2004 Scott Bernard Nelson	Under Fire Is it still possible to invest without getting burned?
Registered Rep. June 2, 2004 Will Leitch	SEC Passes Breakpoint Amendment---With an `Ethics' Twist The Securities and Exchange Commission has issued its long-awaited amendments on breakpoints (sales-charge discounts on mutual funds), and the end result of months of deliberations surprised no one.
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.
The Motley Fool October 14, 2009 Dan Caplinger	The Best Investment You'll Ever Make Stop wasting money and take control of your finances; put your money into a discount brokerage account.
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.
The Motley Fool October 27, 2004	Fussing About Fund Fees Mutual fund fees may look small, but they can eat much of your earnings.
The Motley Fool May 3, 2004 Dayana Yochim	Cash, Credit, Crudites? Brokers are offering a feast of freebies. Here's what's catching our eye.
The Motley Fool February 19, 2004 Dayana Yochim	Come Trade With Me Brokers want your business and a few are casting out some interesting bait, but is it worth it?
Registered Rep. November 20, 2003 John Churchill	LPL Financial Awaits Regulatory Enforcement on Breakpoints Enforcement actions are pending as a consequence of certain clients not receiving appropriate commission discounts, otherwise known as "breakpoints," on Class A mutual fund purchases. LPL is one of roughly 2,000 firms conducting internal examinations into breakpoints.
Registered Rep. April 1, 2006 Kevin Burke	Herd Mentality Instead of being the value-adders they're supposed to be, brokers seem to be following the larger herd of investors. A recent survey shows about two-thirds of brokers invest more than half of the asset they manage with a single mutual fund family.
Registered Rep. August 29, 2006 Kristen French	Pru Agrees to $600 Million Market-Timing Settlement Prudential Equity Group admitted to criminal wrongdoing in connection with the market-timing practices of a number of its brokers between 1999 and June, 2003.
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.
The Motley Fool May 14, 2007 Dan Caplinger	Sweep Up More Income Get your brokerage cash working harder for you.
The Motley Fool October 25, 2007 Dan Caplinger	Brokers for Expert Investors Have you outgrown your brokerage account? When you're just getting started with investing, comparing brokerage firms is pretty easy. But when you go beyond the basics, you need a broker who provides more.
The Motley Fool April 13, 2004 Selena Maranjian	Full-Service vs. Discount Brokers There isn't a great distinction between them anymore.
Registered Rep. June 24, 2004 John Churchill	Morgan Stanley Sued by New Hampshire Regulators New Hampshire securities regulators are suing Morgan Stanley, charging that in 2002 the firm encouraged its brokers to sell proprietary mutual funds by using sales contests, a violation of NASD rules.
The Motley Fool April 30, 2009 Dan Caplinger	Tools to Make You a Better Investor Brokers have been hurting, and you can take advantage. With brokers focusing on getting your business, you'll find them developing and expanding on tools that could help you invest more easily.
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.
The Motley Fool July 2, 2007 Selena Maranjian	Declare Independence From Your Broker You don't need to be a genius to improve your portfolio's performance, and the best way to do so may involve casting off the shackles of your current brokerage.
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 March 5, 2004	Cheap Trades Here! A big part of how brokers compete is through price-per-trade. And while cost is a factor -- particularly for more frequent traders -- it should not be your only guidepost. Investment selection and services should be tops on your broker search list.
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.
The Motley Fool October 13, 2006 Mary Dalrymple	Free Trade at Bank of America? The megabank offers no-fee stock trades.
Registered Rep. June 1, 2004	10 Years Ago in Registered Rep NASD warnings, again.
The Motley Fool August 30, 2010 Dan Caplinger	Who You Trade With Does Matter It's easy to think that one broker fits all, but nothing could be further from the truth. Take the time to get to know your brokerage options. Only then will you have the knowledge base to make your best choice.
The Motley Fool March 30, 2010 Dan Caplinger	The Best Way to Buy Stocks Is one broker really that much better than another?
Registered Rep. December 1, 2004 John Churchill	If You're a Broker and You Know It As the holiday season approaches, the SEC is getting daily entreaties from registered investment advisors seeking an end to the broker/dealer exemption rule.
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 April 13, 2005 Selena Maranjian	Looking for Free Trades Savvy investors are finding ultra-low-cost brokerages.
Registered Rep. November 1, 2002 Rick Weinberg	All in the Family Cases of brokers stealing from their clients are not unheard of. But, according to the Massachusetts Securities Division, a UBS PaineWebber broker gave the old crime of embezzlement a new twist.
Registered Rep. November 3, 2004	Broker or Advisor---Who Knows the Difference? More than half of American investors look to brokers for more than just transactional assistance, according to new research, which also finds that investors don't understand the differences between brokers and registered investment advisors.
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. 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. April 1, 2006 John Churchill	Merrill Call Centers Gone Wild Merrill Lynch agreed to pay a $5 million NASD fine to settle charges that the firm's brokerage client call centers were poorly supervised.
The Motley Fool April 20, 2006 Rick Aristotle Munarriz	E*Trade on Top The online discount broker provides a healthier trading outlook. Can it get even better? Sure, if trading volume holds up or the company continues to scoop up smaller brokers in accretive deals. Investors, take note.
The Motley Fool April 8, 2004 Selena Maranjian	Switching Funds in an IRA How easy is it to move money from one fund to another, or from a fund to stocks?
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.