December 19, 2006 By Shanny Basar FINANCIAL NEWS UBS could face further regulatory actions after the bank was accused of defrauding thousands of customers by...
April 12, 2005 Securities Industry News The New York Stock Exchange has agreed to a settlement with the Securities and Exchange Commission over charges against...
January 6, 2005 By LYNN COWAN DOW JONES NEWSWIRES WASHINGTON -- When Robert Kadar was searching for a brokerage firm in 2000 that could help...
February 11, 2004 By John Churchill Registered Rep. Brokers have become more attuned to investor complaints in recent years, but they must be forgiven if...
December 14 , 2003 By Grant Catton COMPLIANCE REPORTER The sales practice violation known as over-concentration is raising eyebrows after appearing in an NASD enforcement...
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