In the Media

Investment Executive (May 2, 2002 8:10 am) -- "In August 2000, Virginia Hay filed an arbitration complaint against Salomon Smith Barney and its broker Lawrence Gordon. Her since-deceased father lost…
InformationToday (December 2001) -- CCH, Inc., a provider of legal information, software, and services, has announced that it will aggressively oppose and seek prompt legal resolution for an attempt…
BloombergBusiness (August 12, 2001) -- Mad as hell at your stockbroker? You're not alone. A record number of investors want to make their brokers pay for their portfolio blowups. Securities…
Says when suitability rule must be observedInvestmentNews (March 26, 2001 11:01 pm) -- Online brokers could be accused of churning if their customers trade too much based on their recommendations.The…
Wall Street Journal (March 21, 2001 11:01 pm) --  The National Association of Securities Dealers rejected arguments that online-brokerage firms should be exempt from the suitability rules that have…
TheStreet (February 6, 2001 9:12 am) -- A plan by the National Association of Securities Dealers to help investors collect unpaid arbitration awards by allowing them to take brokerages to court is…
Brokers - When you've been done wrong, you can win the Arbitration game, by Keffrey R. Kosnett. . . Give Me Back My Money Kiplinger's (January 2001) -- Erwin Andersen, a self-employed construction…
WealthManagement.com (September 1, 2000 ) -- Just days after the NASD created a new dispute resolution subsidiary geared at improving the perception of its arbitration forums, the regulator was…
Securities: Individuals' attorneys say brokerage group's computers are set to pick panelists who favor Wall Street. NASD denies the charge.Los Angeles Times (July 21, 2000) -- Lawyers representing…
Complaints about botched trades are up 1,200% since '97BloombergBusiness (June 18, 2000) -- Online brokers love to boast about the growing number of online trading accounts. But there's one statistic…