Story
- Regions to Keep, Combine Choice Wealth Units 06/23/2011
Reuters
- David Lerner Associates’ Fiduciary Compliance on Apple REITs 06/18/2011
Palm Beach Daily News
- COMPLIANCE WATCH: Brokerage Still Sells Questioned REITs 06/09/2011
Dow Jones Newswires
- Broker-Dealer Omni Brokerage Closes Its Doors 06/01/2011
AdvisorOne
- Retired UPS employee files $4M suit 04/25/2011
Atlanta Business Chron.
- Ameriprise unit nears $50 million settlement 03/31/2011
Star Tribune
- Wall Street Banks Brace for Widening Financial Regulatory Probes 04/20/2010
ABC News
- SEC charges Goldman Sachs with defrauding investors 04/16/2010
Palm Beach Daily News
- Bank of America's post-Lewis era has just as many problems 10/01/2009
The Charlotte Observer
- Bahamas couple files $5M arbitration claim against Merrill 08/20/2009
Investment News
- NH Couple Files Claim Against UBS Over Structured Warrants 07/10/2009
Dow Jones Newswires
- Regulators: Fund firm hid losses 06/09/2009
The Boston Globe
- Schapiro's SEC Gets Cautious Early Thumbs-Up 05/06/2009
LAW 360
- COMPLIANCE WATCH: Unlisted REITs Draw Scrutiny From Finra 04/01/2009
Dow Jones Newswires
- Madoff Set to Disclose List of Holdings 12/31/2008
ABC News
- Lingering Scars - Auction-rate blowup 11/30/2008
The Wall Street Journal
- New wave of class actions filed in wake of subprime collapse 10/10/2008
The National Law Journal
- 'Safe' bets turn perilous as bonds fall 09/09/2008
Chicago Tribune
- Selling a Free Lunch 08/21/2008
Forbes Magazine
- Wachovia will buy back up to $9 billion in securities 08/15/2008
The Charlotte Observer
- Wachovia in talks on bond sales 08/12/2008
The Charlotte Observer
- Citi, Merrill To Buy Back ARS It Issued Or Sold 08/08/2008
Dow Jones Newswires
- Citigroup to buy back 7.5 bln dlrs of tainted securities 08/07/2008
AFP
- SEC Probes 'Vomitorium' While More Patients Gag 08/07/2008
Bloomberg
- Citigroup to buy back 7.5 bln dlrs of tainted securities 08/07/2008
AFP
- Wachovia Drops Some Brazilian Clients 07/22/2008
Dow Jones Newswires
-
Investors burned in auction-rate meltdown
07/18/2008
The Charlotte Observer
- Out with the Old: FINRA's New Rules 07/01/2008
On Wall Street
- US law firm expects more investor claims (Bear Stearns) 06/24/2008
Hedgeweek
- Many investor suits on CDOs may follow HSH case 02/25/2008
Reuters
- Firms Giving Loans To Cash-Hungry Clients 02/22/2008
Dow Jones Newswires
- Regulation: The Burden and the Backlash 02/01/2008
On Wall Street
- UBS Terminates Some Outside Money Managers 11/01/2007
Dow Jones Newswires
- Merrill, Morgan Mull New Brokerage Account 08/30/2007
Dow Jones Newswires
- NASD Curbs Lawyers’ Subpoena Power 08/21/2007
CCH Wall Street
- Goldmans in $2bn fund bail out 08/14/2007
Telegraph.com.uk
- Lawyer Seeks Arbitration Overhaul 08/13/2007
ABA Journal
- When Arbitrators Are Their Own Judges 08/12/2007
The New York Times
- Morgan Stanley Tests Fee-Based Advisory Plan 08/10/2007
Dow Jones Newswire
- Bear Stearns In A Seize And Desist Move 07/27/2007
Hedge Fund Daily
- Morgan Stanley To Keep Opening Fee-Based Brokerage Accts 06/07/2007
Dow Jones News Service
- UBS Mulls Shuttering Fee-Based Brokerage Accounts 05/09/2007
Dow Jones Newswires
- Ex-Microsoft Staffer Sues Merrill for $1M 03/31/2007
CCH Wall Street
- Lawyers weigh into UBS fraud accusation 12/19/2006
Financial News
- Ex-Microsoft employee sues Merrill Lynch over bad advice 03/29/2006
Investment News
- Law firm says suing Merrill Lynch over options 03/28/2006
Reuters
- Ex-Microsoft worker seeks damages from Merrill 03/28/2006
Reuters
- A Poor Fit for Investors? 04/28/2005
BusinessWeek
- NYSE, SEC Reach Settlement In Fraud Case 04/12/2005
Securities Technology Monitor
- Microsoft employee awarded damages against investment advisor 01/27/2005
Puget Sound Business
- Brokerages Sell Advice, Yet Shun Legal Responsibility 01/06/2005
Dow Jones Newswires
- Dueling Trend Lines on Complaints 02/11/2004
Registered Rep.
- Over-Concentration Cases: More Fallout From Tech Bubble 12/14/2003
Compliance Reporter
- More claims filed against brokers over Microsoft stock option advice 12/04/2003
King Country Journal
- Merrill Lynch & Co.,...Face[s] Arbitration... 11/12/2003
Bloomberg News
- Law Firm: Former Microsoft Worker Files Suit Vs Merrill Lynch 11/11/2003
Dow Jones Newswires
- Atlanta Salomon Smith Barney office under scrutiny 11/10/2003
Atlanta Chronicle
- Merrill Lynch-Wenatchee accused 11/09/2003
The Wentchee World
- Smith Barney Settles On WorldCom; Spartis, Elias Continue Fighting 08/26/2003
Registered Rep.
- Microsoft staff in share options spat... 07/04/2003
Computing.co.uk
- Investors Duped By Wall Street Have Some Options 05/20/2003
Dow Jones Newswires
- Seeing Evidence in E-Mails After the Wall Street Settlement 05/08/2003
The National Law Journal
- CMGI Holder/Claim: Charges Merrill with Unlawful Conduct 05/01/2003
Dow Jones Newswires
- Settlement to Bring Bonanza of Evidence 04/29/2003
The Wall Street Journal
- Caution: This Hybrid Can Sting 03/09/2003
The New York Times
- Claims Target Microsoft Employee Options 02/03/2003
Associated Press
- Microsoft ESOP Suits: Merrill, Salomon Named In Claims 02/03/2003
Dow Jones Newswires
- Legal Briefs? Not In 2002 02/01/2003
Registered Rep.
- Private Litigation Looms After Wall Street Settlement 12/20/2002
Dow Jones Newswires
- Laid-Off Brokers Owe Ex-Employers 09/11/2002
The Wall Street Journal
- Flipped Out 09/01/2002
Registered Rep.
- California Securities Arbitrations at a Standstill 09/01/2002
Registered Rep.
- Lawsuits Against Brokers Soar: Few Investors Expected To Win 08/01/2002
Houston Chronicle
- WorldCom, Tyco Sued Over 401(k) Losses 07/24/2002
Miami Daily Business
- WorldCom Staffers Now Say 'It's No Different Than Enron' 06/27/2002
The Wall Street Journal
- WorldCom Employees File Suit Against Morgan Stanley 06/26/2002
Dow Jones Newswires
- More Firms Named in Microsoft Options Suits 06/06/2002
Seattle Post-Intelligencer
- Lawyers Do Battle in Stock-Option Cases 06/01/2002
On Wall Street
- Merrill May Face Class Action Litigation 05/21/2002
Registered Rep.
- Firm Sues Brokerages On Behalf Of Microsoft Employees 05/03/2002
Dow Jones Newswires
- Local Stock Surfaces in Probe 04/27/2002
Tribune Business News
- Bettin' It All on Jack? 04/01/2002
Registered Rep.
- Outrage Is Rising as Options Turn to Dust 03/31/2002
The New York Times
- The Road To Fiduciary Responsibility Via Litigation 03/06/2002
BizWatch
- Blame it on the judge 03/04/2002
Barron's
- Brokerage Firms Despite Costly Sanctions, They Overlooked Scams 03/03/2002
The Plain Dealer
- Betrayed? 03/01/2002
Registered Rep.
- Law Firm Still To Pursue Investigation Against Salomon 02/28/2002
Dow Jones Newswires
- Letter From Broker on the Run Blames Employers for Being Lax 01/26/2002
The Cincinnati Enquirer
- Salomon Smith Barney Sued by WorldCom ESO Holders 01/15/2002
AFX News
- Bankruptcy Filing Says Fraud Suspects Are Without Assets 12/05/2001
The Palm Beach Post
- Merrill Lynch Funds' Sales Practices Under Investigation 11/07/2001
AFP-Extel News Ltd
- Broker Made 600K, One Couple Claims 01/29/2001
Investment News
- Seniors Who Bought Pay Phones Cry Foul 12/19/2000
The Palm Beach Post
- PaineWebber Unit: Suit Seeks $12.6M In Damages 06/09/2000
Dow Jones Newswires
- MacKay Gained But Others Lost 08/06/1998
The Florida Times-Union
- Crybaby Investors 11/27/1995
The Palm Beach Post
- Settlement OK'd in Prudential Case 11/18/1995
The Palm Beach Post
- Lawyers Heeding Cries of Prudential Investors 12/11/1994
The Palm Beach Post