ARTICLES - 2006

 

INVESTOR

Investor Fraud Study Reveals Why Investors Are Susceptible

Invest Carefully in Private Equity Funds

Beware of the Exchange of Life Insurance Policies and Annuity Products

Securities Regulator Issues Warnings Regarding Exchange Traded Funds (ETFs)

Brokerage Firms Continue To Equivocate In Defining the Roles of Their Brokers

NASD’s “Hot Topics” for Protecting Investors

Securities Regulators Issue New Round of Warnings Regarding Hedge Funds

SEC Continues To Seek To Protect Hedge Fund Investors

Know Your Brokerage Firm’s Cash Sweep Account

Securities Arbitration Statistics Reveal Interesting Trends

Beware of Financial Advisers Changing Firms; Investors May Pay the Price

Brokerage Firm’s Supervisory Deficiencies Highlight Areas for Investor Concern

Seniors Beware:  Securities Regulator Details Investment Frauds

When “Second Class” Becomes Abusive; Brokerage Firm Call Centers Revisited In Light of Sanctions Against Merrill Lynch

Securities Regulators Announce “Unlucky 13” Investor Traps

Hedge Fund Due Diligence; A Must Before You or Your Adviser Invests Your Money

Securities Regulator Issues Its Review for 2005

 

PROFESSIONAL

Fair Labor Standards Act Litigation Fallout; The Effect (So Far) of Broker Overtime and Improper Expense Deduction Complaints

SEC Provides Guidance For Effective Securities Firm Compliance Programs

Surge In Overtime Lawsuits Against Employers Now Includes Brokers; Are Insurance Agents Next?

Securities Regulator Provides Helpful Guidance As To Asset Allocation, Diversification and Rebalancing

Performance Advertising; What You Need To Know

The "Merrill Rule"; More of the Same, Coming Soon to a Broker-Dealer Near You