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On Wall Street
January 1, 2012
Alan J. Foxman |
The Disclosure Dilemma When and what needs to be disclosed on the U4?   |
On Wall Street
October 1, 2013
Alan J. Foxman |
Our Legal Expert Defines Client Complaints Do you know when a customer complaint is reportable? |
Registered Rep.
March 1, 2008 |
Client Complaints: To Report Or Not To Report When a registered rep should report client complaints. |
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? |
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. |
Registered Rep.
July 31, 2008
John Churchill |
Massachusetts Says Merrill Defrauded ARS Clients Among the many claims against Merrill Lynch is that management censored otherwise gloomy fixed income research in order to move volatile inventory out of company inventory and into client portfolios. |
Registered Rep.
August 1, 2005 |
Suitable for Blaming? I just opened an account for a new client who said he had lost a lot of money with another firm. It was clear to me that the prior activity was not suitable for either the investment objectives or the risk tolerance of the customer. Should I say anything to my client, or should I just make the changes that I think are appropriate? |
On Wall Street
January 1, 2009
Alan J. Foxman |
Reimbursing Your Firm Advisors are unsure how to split the cost of damages from a complaint -- and when a settlement goes on the U-4. |
Registered Rep.
September 1, 2005 |
Expunge Bath I received customer letters, written after a nasty falling-out, that my firm said would appear on my internal U4, but not my public statement. Am I forever marked up, or can I get the letters off my record?... |
On Wall Street
October 1, 2012
Lorie Konish |
Settlement May Not End Merrill Lynch's Deferred Compensation Woes Exemptions and the chance to opt out have lawyers predicting the $40 million proposed deferred compensation plan settlement will not cease litigation against Merrill Lynch. |
Registered Rep.
August 1, 2004
Bill Singer |
Dealing With Complainers Many official complaints can be handled in a way that minimizes the damage to a rep's reputation and to his permanent record. |
Registered Rep.
June 27, 2007
Halah Touryalai |
EEOC Goes After Merrill in Discrimination Suit This time the Equal Employment Opportunity Commission is heading the complaint on behalf of former employee who is a Muslim from Iran. |
Fast Company
September 2006 |
It's 11 O'Clock. Do You Know What Your Customers Are Worth? Executives are more clueless than ever about the financial implications of their customer strategies. |
Reason
November 2008
Ronald Bailey |
Congress of Angels 'Near-perfect' ethics record in Congress -- members are loath to file complaints against one another because they fear retaliation |
The Motley Fool
February 27, 2007
Mary Dalrymple |
Constructive Complaining Learn the fine consumer art of making a tactful, effective complaint to ensure a better financial outcome. |
