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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.
November 1, 2006
Jacob H. Zamansky |
Fighting the U5 The troubling reality is that the fate of the entire securities industry now resides squarely with the Court of Appeals. Fortunately the bench is full of very thoughtful and practical judges, who will hopefully see the wide-ranging impact this ruling will have. |
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. |
On Wall Street
February 1, 2010
Alan J. Foxman |
Advisor Sued When Market Is to Blame Legal experts answer questions from advisors who are being sued by clients who have lost money in the financial turmoil. |
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.
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. |
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. |
The Motley Fool
February 6, 2004
Roy Lewis |
Tax Preparer-Client Privilege? Unlike when you talk to your lawyer, what you say to your tax preparer or accountant may be held against you. |
BusinessWeek
June 6, 2005
Mara Der Hovanesian |
Travelers May Be Heavy Baggage MetLife's pricey acquisition of Travelers Inc. could take time to pay off. |
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. |
