Author: D. Daxton White
Recent Changes to the FINRA Code of Arbitration
The Securities and Exchange Commission (SEC) has recently approved several amendments to the Financial Industry Regulatory Authority...
Customer Complaints on the Rise?
With branch offices increasing, will customer complaints be on the rise? Despite the downturn in the economy, brokerage firms are...
Financial Fraud Often Aimed at Seniors
According to Jennifer Levitz’s May 19, 2009 article in the Wall Street Journal, “Laws Take on Financial Scams Against Seniors,”...
Investor Tools
Whether or not you knew it at the time you established your brokerage account, virtually every new account agreement with a broker-dealer...
8th Circuit Addresses Scope of Fiduciary Duty
A panel of the 8th Circuit Court of Appeals addressed the scope of the fiduciary imposed on advisors of mutual funds by the Investment...
SEC Charges Madoff Auditors
The SEC charged the auditors of Bernard Madoff’s broker-dealer firm with committing securities fraud by representing that they had...