From Investment Fraud Blawg, Securities Fraud Blawg, and Stockbroker Fraud Blawg: In a July 31, 2009 article, Sam Mamundi of Marketwatch.com discussed the hidden sales fees charged by mutual funds.…
From Investment Fraud Blawg, Securities Fraud Blawg, and Stockbroker Fraud Blawg: On August 4, 2009, the Wall Street Journal reported that Fidelity Investments had joined other broker-dealers in warning its…
From Investment Fraud Blawg, Securities Fraud Blawg, and Stockbroker Fraud Blawg: Only weeks after Edward D. Jones, Ameriprise, Linsco Private Ledger (LPL) and UBS announced that they were restricting the…
From Investment Fraud Blawg, Securities Fraud Blawg, and Stockbroker Fraud Blawg: According to an article on InvestmentNews, Massachusetts securities regulators have subpoenaed four brokerage firms for information related to their…
From Investment Fraud Blawg, Securities Fraud Blawg, and Stockbroker Fraud Blawg: On July 30, 2009, New York Attorney General Andrew Cuomo issued a report entitled "No Rhyme or Reason: The…
From Investment Fraud Blawg, Securities Fraud Blawg, and Stockbroker Fraud Blawg: Earlier this week, The Wall Street Journal reported that while the four major Wall Street brokerage firms experienced an…
From Securities Arbitration Blawg: According to the Financial Industry Regulatory Authority (FINRA), securities arbitration claims are on the rise in 2009. In fact, according to FINRA's June Summary Arbitration Statistics,…
From Consumer Fraud Blawg: Two recent news items should come as welcome news to consumers. Regulatory and private action has led to the suspension of consumer credit collection arbitration by…
From the Securities Fraud Blawg On July 21, 2009, the Securities and Exchange Commission (SEC) charged Morgan Keegan & Company. In its Complaint, the SEC seeks an injunction for violation…
From the Securities Fraud Blawg In a much anticipated move, the Securities and Exchange Commission (SEC) made permanent a rule that it hopes will curb abusive “naked” short selling practices…