The Wall Street Journal (Updated August 30, 2002 11:01 pm) -- At the height of the tech boom, Joe and Janet Janssens say they took the advice of their Salomon Smith Barney broker and plowed much of…
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Once-prominent money manager found guilty of defrauding clientsBlack Enterprise (August 1, 2002) -- In September, money manager Alan Bond will be sentenced to up to 45 years in prison for cheating…
USA Today (May 23, 2002 10:07 pm) Plenty of investors are upset with their stockbrokers, but they are also losing faith that Wall Street's watchdog group will help them.Consider this: Investor…
The Wall Street Journal (Updated May 2, 2002 11:01 pm) -- In August 2000, Virginia Hay filed an arbitration complaint against Salomon Smith Barney and its broker Lawrence Gordon. Her since-deceased…
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…