Author: D. Daxton White
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...
Merrill Lynch Ok’s funeral trust deal
Merrill Lynch & Co. has agreed to pay $18 million to end a State of Illinois investigation into its role in the erosion of a trust that...
Wall Street Firms Still Preoccupied with Big Sales
Lest you believe that Wall Street has changed its stripes, and is now in the business of financial advising and consulting rather than...
Brokers must Disclose Customer Complaints
Regulators Require Brokerage Firms to Provide More Public Disclosure Regarding Customer Complaints On May 13, 2009, the U.S. Securities and...
