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2000



December

Edward Jones Fined $200,000 Over Callable CDs
Callable CDs Alleged To Mislead Investors
Expenses Charged On Income Mutual Funds Vary Dramatically
SEC Administrative Judge Fines Piper Jaffray $2 Million
IPOs Are A Losing Proposition in 2000 By A Factor of 2 to 1

November

P/E Gap Shrinks Between Tech Stocks and Non-Tech Stocks
SEC Probes Mutual Funds For "Portfolio Pumping" and "Window Dressing"
NASD Alleges Dean Witter Misstated Risks on Bond Mutual Funds

October

SEC And NASD Anticipate Additional Actions Over Sales of Variable Annuities To Qualified Plans and Others
E-Trade Securities Ordered to Compensate Investors for Losses
E*Trade Securities Ordered to Compensate Investors for Losses
Viatical Industry Reeling From Fraud And Theft
SEC Charges Jeffrey Grayson and Capital Consultants With Fraud
SEC Charges TLC America And Others With Fraudulent Investment Scheme
SEC Charges Burton Financial Management Associates and Others in Fraud
SEC Charges Leah Industries, Inc. With False Claims Over Who Its Auditors Were

September

SEC Files Complaint Against Capital Consultants, LLC, Of Portland, Oregon Over Ponzi Scheme
Margin Abuse Claims On The Rise At The NASD

August

Dean Witter Sanctioned For Failure to Supervise Broker Who Switched Clients' Mutual Funds

July

Index Funds Are Not Always Tax Efficient
Mutual Funds Venture Into High Risk Private Stock Deals
Mutual Funds Increase Fees Before Acquisitions
California Banishes Variable Annuity Product Known As GMIB
All-Tech Day Trading Firm Charged With Wrongdoing
Duke & Co. Stockbroker Sentenced and Fined
GAO Report Urges Mutual Funds To Disclose Expenses Investors Pay

June

Massive Stock Fraud Involving Organized Crime and Others Alleged By Justice Department and SEC
E-Trade Receives Many Customer Complaints
SEC Issues Warnings Regarding Purchases of Variable Annuities
GAO Urges More Rules For On-Line Brokers
Junk Bond Defaults Are Rising

May

Bear Stearns to Pay Investor $111.5 Million For Currency Trading Losses
Merrill Lynch Fined $750,000 For Activities of Massachusetts Broker Richard Greene
Hedge Fund Manager Michael Higgins Charged with Securities Fraud
Dreyfus to Pay $950,000 to Settle Charges Related to Misleading Advertising
Bear Stearns Loses $3.9 Million Customer Case

April

Bear Stearn’s Ex-Official Stiffly Fined Over Clearing Role Debacle
Frontier Equity Mutual Fund Charges High Costs (and Long-Term Losses)
Giacchetto, Financial Advisor to the Stars, Charged with Securities Fraud

March

Shareholders in Xtra Corp. U.S. Airways Group, United Asset Management and GTech Holdings Should Beware of Tiger Management's Demise
Venture Capital Investments Show Low Correlation to the S&P 500
Japan May Be Rebounding
Mutual Fund Directors' Compensation Skyrockets
Major Companies Counting Unrealized Venture Capital Investments To Boost Their Earnings
Best to Wait to Celebrate Mexico's Improved Country Debt Rating
A.G. Edwards Continues to Offer Brokers Increased Financial Incentives To Sell Annuities
P/Es Now Exceed Nifty Fifty Era of 1972-1973

February

Green Century, Berger and CGM Balanced Funds Are Not So Balanced
Legg Mason Fund "Bet the Farm" on Global Crossing

January

Increasing Volatility in the High Flying Stocks Is Dangerous
Increasing Volatility in the Market Is Dangerous






   
 
 
 
 



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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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