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…
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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…
siliconinvestor.com (February 24, 2000) -- YOU WON'T SEE Kathleen Nyquist's story in those edgy, online-trading-is-fun television commercials for E*Trade Group (EGRP). Nyquist, a 44-year-old writer…
InvestmentNews (October 18, 1999 11:01 pm) -- Online brokerages exploiting new technology to inform customers of certain investment opportunities are doing so at their own risk.The nation's top…
baltimoresun.com (August 30, 1999) -- WHEN you open a stockbrokerage account, you're safeguarded by the Securities Investor Protection Corp. (SIPC). But what, exactly, are you covered for? Not as…