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2007



November

Brokerage Firms Adapt to New, Investment Adviser Duty, Reality


August

Midsize Brokerage Firms Offer Creative Packages to Transitioning Advisers
Former Merrill Lynch Broker Recovers Damages and Is Awarded U-5 Expungement of Defamatory Language
NASD Arbitration Panel Slams FSC Securities For Failing To Supervise and Prevent Selling Away Fraud By Broker


July

Independent B-Ds Increase Up-Front Transition Money Paid to Reps


June

Another Court Uses Protocol For Broker Recruiting To Defeat TRO Litigation Against Transitioning Advisers' ACAT Efforts


April

SIFMA Wants SEC To Appeal "Merrill Rule" Decision Despite Investor Confusion and Desires






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