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1999



November

Harbor Securities Day Trading Firm Shut Down

September

Brokerage Firm Merit Capital Fined
Brokerage Firm The Harriman Group and Others Expelled and Fined
SEC Fines Van Kampen Fund for Misleading Investors

August

Brokerage Firm Premier Capital Management Charged with Securities Law Violations
Day Trading Firms Come Under Fire for Customer Abuse

July

Restitution Anticipated for Monroe Parker Securities Investors

June

Bear Stearns Settles SEC Action
Datek Online Brokerage Dipped into Client Funds
SEC Chief Sees Stronger Bans on Broker Recruiting Bonuses and Sales Contests

April

SEC Warns Brokerage Firms Re. Options Prices

January

Investors Recover Losses 59% of Time in Arbitration













   
 
 
 
 



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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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