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2005



December

Merrill Lynch, Wells Fargo and Linsco Fined $19.4 Million for Improper Sales of Class B and C Mutual Fund Shares
SEC Subpoenas Merrill Re. Pension Fund Conflicts of Interest

November

Be Wary of Hedge Funds' Use of "Side Pockets"

September

NASD Probes Brokerage Firms' Hedge Fund Recommendations

August

Securities Arbitration Awards Highlight Issues Surrounding Hedging Concentrated Stock Positions Resulting From the Exercise of Employee Stock Options

June

Bailey Coates and Marin Capital Partners to Close
Hedge Funds Predicted To Go Bust at a Rate of 10% Per Year
Junk Bonds Getting Junkier and Riskier
15 Firms Fined $34 Million for Accepting Directed Brokerage Payments From Mutual Fund Companies

May

NASD Unveils Bond Website to Assist Investors
Former CSFB Broker Sanctioned for Host of Violations
NASD Penalizes Ladenburg Thalmann for Customer Overcharges

April

Tower Square Broker David Faubert Alleged To Have Defrauded Clients





   
 
 
 
 



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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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