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San Jose Mercury News
Denise Day knew she needed help managing $1.4 million in cash and stock options she received in her divorce. So, like many investors, she turned to a broker for advice. Just over a year later, she’s filed to take her broker to arbitration, alleging she lost almost everything when he handled her investments more aggressively […]
HorsesMouth.com
How long do you have to wait for a complaint to get resolved at E*Trade? For one investor, it took 40 days, and according to his attorney, the problem is exacerbated by phone reps’ lack of experience. Quote of the Week “Order-takers have been there as little as six months. Managers have been in the […]
Los Angeles Times
Convinced that she had been defrauded by her stockbroker, Cara Marks fought back. She took her claim to the arbitration program of the National Assn. of Securities Dealers, the nation’s dominant forum for resolving legal disputes between investors and brokers. For Marks, who said the broker sent falsified financial statements to keep her in the […]
As seen on CNBC & MSNBC
Aug 14 – The extended bull market and the record trading volume in U.S. stocks has fattened the bottom line for the nation’s securities firms. Before taxes, they earned more than $12 billion last year – a record. But that money has a downside, too. It’s a temptation for an unscrupulous few. ONE CALIFORNIA regulator […]
As seen on CNBC & MSNBC
Aug 13 – Within the world of the securities industry there is debate over whether investors’ rights are adequately protected. The regulatory arm of the National Association of Securities Dealers, for one, says its budget is up 45 percent over the last three years and that it has taken a number of measures to help […]