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2006



December

Merrill's Agreement to Protocol for Broker Recruiting Harms Its Efforts to Obtain Customer Solicitation TRO

October

Smith Barney Suit for Female Gender Discrimination Seeks Class Certification

August

Merrill Lynch Broker Wins $3 Million Defamation Verdict

July

Morgan Stanley Sued By Women Alleging Gender Discrimination

June

SEC Cracks Down On Deficient Investment Advisers
Hartford Financial Services Group Fined $20 Million In Annuity Fraud Probe

May

NASD Plans "Sweep" Exams of Brokerage Firms To Detect Purchases of Equity Indexed Annuities
Investment Advisers Pay Dearly For Regulatory Compliance

March

Approaching Investment Adviser Deadlines and Obligations

January

ERISA Advisory Opinion Finds Brokers May Be Liable for Self-Directed Plan Investment Losses





   
 
 
 
 



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Sponsored by James J. Eccleston, an attorney representing stockbrokers, financial planners and investors nationwide in arbitration, litigation and regulatory matters, and a shareholder with the law firm Shaheen, Novoselsky, Staat, Filipowski & Eccleston P.C.(www.snsfe-law.com). This Web site contains material of general interest. It is neither intended to, nor constitutes, either legal advice or investment advice. Always consult an attorney and/or investment advisor when building and protecting your wealth.

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