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1998



November

NASD Warns Brokerage Firms to Stop Cold Calling in Great Britain
Olde Discount Brokerage Nailed with $5 Million Fine


September

Margin Calls Explode; Conservative and Moderate Investors Take Inappropriate Risks


April

SEC Criticizes Broker Compensation Practices


February

Brokers Still Recommending Investments without Sufficient Knowledge
Dean Witter Ranks Third in Overall Customer Service but Pushes the Most Risky Investments during Initial Client Consultations












   
 
 
 
 



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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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