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1999



August

Day Trading Firms Come Under Fire for Customer Abuse

July

NASDAQ Settlement Fund Now Available to Investors

June

Bear Stearns Settles SEC Action
SEC Chief Sees Stronger Bans on Broker Recruiting Bonuses and Sales Contests

April

SEC Warns Brokerage Firms Re: Options Prices

March

Most Firms Still Mistreat Inherited IRAs, Causing Financial Loss
SEC Fines Van Kampen Fund for Misleading Investors

January

Merrill Lynch Mutual Funds Underperform
Investors Recover Losses 59% of Time in Arbitration
Watch for Reverse Splits






   
 
 
 
 



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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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