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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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