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2006



September

A.G. Edwards Fined $900,000 For Charging Customers Excessive Account Fees
Edward Jones To Pay $127.5 Million to Settle Mutual Fund Deception Class Action

June

SEC Cracks Down On Deficient Investment Advisers
Tower Square Broker David Faubert of Connecticut Still Troubling Firm

May

Waddell & Reed Settles Variable Annuity Policy Switching Complaint
NASD Expels Salomon Grey Financial and Owner Rowe

March

Merrill Lynch Fined For Abusive, Second Class Service
SEC Penalizes New England Securities, McConnell and Rozek for Misrepresenting Advisory Client Rebalancing Services







   
 
 
 
 



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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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