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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 […]
As seen on CNBC & MSNBC
WASHINGTON, Aug 12 – The securities industry, led by the Securities Industry Association, points with pride to its own research showing that complaints against brokers are down. But industry regulators have different statistics. Even so, many of those involved in securities enforcement say improved safeguards help protect people from unscrupulous brokers, unethical firms and scam […]
As seen on CNBC & MSNBC
There are almost 600,000 stockbrokers in this country and by most accounts, the vast majority of them are honest and ethical. A minority is not: Complaints about stock brokers were up 30 percent last year in eight states alone. The most recent national statistics are from two years ago: at that time, there were 30,000 […]
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 […]
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, […]