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Investors Complain Of Losing Thousands At Walsh Manning

Dow Jones Newswires

There is the 61-year-old financial analyst who works at the Bureau of Indian Affairs in Washington, D.C., and the small business owner from southern New Jersey. Then there is the soft-spoken, 55-year old California woman who is carefully saving her money, but not for retirement. She is making a midlife career change, moving from a […]

Former Broker at Duke & Co. Accuses Managers of Engaging in Misconduct

Wall Street Journal

A former broker at Duke & Co., which is under investigation by federal and state regulators, has accused the brokerage firm’s principals of many suspect practices, including the refusal to execute trades and ordering the use of sales scripts. In a sworn declaration given in connection with an arbitration claim, the broker, Howard M. Blumenau, […]

Arbitration Panel Orders Duke & Co. To Pay Former Broker $120,000

Dow Jones Newswires

Duke & Co., the small New York brokerage firm that is closing its retail operations amid investigations by federal and state regulators, was recently ordered to pay a total of $120,000 to a former broker who claimed the firm fired him in 1996, withheld commissions, and then tried to blackball him with his next employer. […]