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Registered Rep.
March 1, 2007 |
Correction In "The Glitch" (January 2007), it was reported that NASD had not corrected the CRD record of former Piper Jaffray broker trainee Mark Schley... etc.   |
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. |
Registered Rep.
February 1, 2006
Bill Singer |
Cheaters Never Prosper Brokers must take tests. It's a fact of Wall Street life. That some people will go too far in an effort to pass them is sadly a fact of industry life, too. Here are a few of the more egregious examples: That's an Old Photo of Me... Failing Up... etc. |
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.
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. |
Registered Rep.
January 1, 2007
Kevin Burke |
The Glitch A class action law suit has been filed that seeks at least $5 million for persons who took the Series 7 between Oct. 1, 2004 and Dec. 20, 2005 and received failing grades in error. |
T.H.E. Journal
June 2007 |
PracticePlanet by Siboney Learning Group Siboney Learning Group has announced PracticePlanet, a web-based program that gives students confidence answering practice questions similar to those on standardized tests. |
Registered Rep.
June 1, 2004 |
10 Years Ago in Registered Rep NASD warnings, again. |
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. |
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. |
Reason
November 2002
Lisa Snell |
Scoring High A charter school's ups and downs |
Registered Rep.
October 1, 2002
Jonathan P. Arfa |
First, Hire the Lawyers With heavy investor losses, customer claims filed with the NYSE and the NASD are expected to hit an all-time high in 2002. What should a broker do if they are the target of a complaint? |
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. |
Registered Rep.
November 7, 2006
Kevin Burke |
NASD Whacks Two Firms with Fines Over Ill-Advised 529 Sales The NASD said on Monday that it has fined Chase Investment Services and MetLife Securities for failing to establish internal controls to supervise the sale of 529 college savings plans. |
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. |
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
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.
December 1, 2006
Kevin Burke |
529 Sales Caught in Sweep The NASD fined Chase Investment Services and MetLife Securities for failing to establish internal controls to supervise the sale of 529 college savings plans. |
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.
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.
October 1, 2006
John Churchill |
Blotter In the Name of Love: An Ameriprise registered rep was accused of stealing money from clients to pay for travel abroad to look for a Russian bride... NASD Busts Slick Broker... |
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. |
The Motley Fool
November 22, 2006
Selena Maranjian |
What's a Cold Call? How to identify stock broker cold callers, what to say to them, and when you should just hang up. |
Registered Rep.
January 1, 2003
Ross Tucker |
Let's See Those Credentials For the thousands of reps who have found themselves unemployed since industry employment peaked in 2000, the matter of retaining one's license to sell securities is a potential issue. |
The Motley Fool
December 22, 2004
Selena Maranjian |
Should You Switch Brokers? The brokerage you're using may not best serve your needs. |
Investment Advisor
May 2006
Ryan G. Murphy |
B/D Briefing: News & Products Fines, Complaints, Mergers: The NASD fined American General Securities Inc... NASD announced the promotion of James Shorris... Raymond James Financial selected PlanningStation... etc. |
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.
January 1, 2003
Nicholas Ferber |
Switching Has Changed During trying times like these, many reps are looking to switch jobs. When pondering a move, no question occupies more time or discussion between brokers, hiring managers and (sometimes) recruiters than the following: "What's in it for me?" |
Teacher Magazine
May 2000
Kathleen Kennedy Manzo |
Pressure Points Tough teachers resist students' pleas for extra credit. |
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.
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
October 1, 2005
Craig L. Israelsen |
Making the Grade Does Morningstar's new stewardship ranking of a fund's ethics correlate with good performance? |
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.
November 1, 2006
John Churchill |
Blotter SEC Busts Another Ponzi... Broker Bends for Hedgies... NASD Says Firm Ignored Red Flags... |
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.
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.
June 1, 2005
Matt Barthel |
What 3012 Hath Wrought When the NASD released follow-up guidance on Conduct Rule 3012, it aimed to clarify how member firms must supervise the personal business of producing branch managers. Unfortunately, many firms remain confused about the rule's requirements. |
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. |
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.
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." |
The Motley Fool
January 2, 2004
Dayana Yochim |
Don't Plunge Into Stocks Six telltale signs that an investment is a scam. |
Registered Rep.
January 30, 2007
Halah Touryalai |
At Independent B/D Confab, Optimism and Skepticism The head of the Financial Services Industry Institute is feeling a little more comfortable with regulators. But, on the other hand, the chairman of the FSI also warns that the combining of the NYSE and NASD might create a power struggle among "second-level" regulatory staffers. |
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? |
HBS Working Knowledge
January 30, 2006
Jim Heskett |
Summing Up: What's The Problem--MBA Grade Disclosure or the Grades Themselves? Readers respond: Yikes, what an awful idea!... I know many people who were academic superstars who are also the worst managers I have ever met... etc. |
Registered Rep.
September 1, 2005
Greg Bailey |
The Real Arbitration Nightmare NASD member firms frequently wield far too much influence in arbitration proceedings, and this situation could end up undermining client confidence in the industry if it persists. |
Registered Rep.
June 8, 2006
Kristen French |
In Switch, Company Sues NASD For Fraud, Says NASD Aided FBI In Creating Bogus B/D In an unlikely lawsuit, the privately owned cancer research firm Shimoda-Atlantic is suing the NASD for securities fraud. |
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, 2004
Nick Ferber |
Sunny Days In the interest of arming financial advisors with all they need to assess broker acquisition packages, here is a guide to deciding when it is mathematically justified to make a change. |
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
March 25, 2004
Dayana Yochim |
Your First Investment Nervous? No need. How to spot scams and find honest investing ideas. |
