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Article Archive
- SEC Says the American Stock Exchange Not Watching Carefully Enough
The SEC makes a cease and desist order against the American Stock Exhcnage for failing to enforce compliance with securities laws and rules and failing to comply with record keeping obligations.
- Insurers Said to Steer Customers to Their Own Financial Products to Sell
Those Who Make Loads Selling Financial Products and Advising Customers, Want To Sell You Their Own Products, No Matter What
- Large Group Case of Worker’s All in Variable Annuities Confirmed Damages
Another Big Group Variable Annuities Case Where Investors' Peace of Mind Were Destroyed: Can We Help You, Too?
- Prudential’s Chief During Biggest Scandals, Back on the Street, Unscathed by Old Scandals , at San
Prudential’s Chief During Biggest Scandals, Back on the Street, Unscathed by Old Scandals , at Sanders Morris, Back in the Game
- NASD Fines Raymond James Financial Services $2.75 Million for Lax Supervision
NASD Fines Raymond James Financial $2.75 for Lax Supervision of Producing Branch Managers, Former Branch Manager Barred for Making Unsuitable Recommendations to Retirees
- S.E.C. Seeks to Curtail Investor Suits
The SEC, the Federal Commission that "regulates" the regulators at the NASD and NYSE, isn't there to protect consumers, seniors and investors.
- NASD fines Putnam, Schudder and AllianceBernstein For Improper Training Meetings
Putnam, Schudder, and AllianceBernstein Fined $700,000 by NASD for turning training seminars into parties.
- The Rules are Different for the Big Banks and Brokers
Just like you thought, the big banks and brokers of Wall Street do not live by the same rules
- NYSE Fines Deutsche Bank Securities 1.28 Million Dollars
Another of the big brokers is fined more than a million dollars for conflict of interest and not supervising their brokers
- HIGH & LOW FINANCE; 70 Years Later, A Scapegoat Gets a Break
Short sellers and financial manipulation was a major reason for the great depression, according to Congressman Adolph Sabath more than 70 years ago--and he is even more correct today.
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