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2003



December

Illinois Adviser Conwell Admits Defrauding Investors
Metropolitan Investment Securities of Washington Sanctioned for Abusing Customers

October

Corporate Retirement Plans Advised to Monitor, Investigate, and Consider Suing Over Mutual Fund Trading Improprieties
SEC Investigates Brokerage Firms' Special Sales Promotions with Mutual Funds
Investors Defrauded of $8 Million By Yankee Financial Group, NASD Alleges

August

Chapman Capital Management Founder Indicted
Lehman Brothers and SG Cowen to Pay $7.5 Million Fine
PaineWebber Pays $500,000 For Failing To Supervise
Salomon Smith Barney Fined $1 Million Over WorldCom
Second HealthSouth Note by UBS PaineWebber Analyst
Prudential Securities Settles SEC Claim

July

D.H. Blair Restitution Fund Available
Telecom Bonds Cause Manager Bradford & Marzec 38% Losses
UBS PaineWebber's HealthSouth Research Analysts Resigns Amid Analyst Conflict Probe
NASD Charges Merrill Lynch Analyst Phua Young Over Tyco Research

June

Weiss Issues New Ratings of Strongest and Weakest Brokerage Firms
New York Annuity Fund Sues Investment Adviser and Manager
MSDW Hit With Arbitration Award Over Analysts' Conflicts of Interest
Sell Recommendations Increase to 10.6% After Conflict of Interest Inquiries
Be Wary of High Yield Bonds And Comparisons to the Lehman Index

April

Vanguard Funds Sue File Fraud Lawsuit Against Salomon Smith Barney Over Enron
SEC Ousts Thomas Weisel Partners From Securities Research Settlement

March

Chicago Hedge Fund Manager Jung Indicted For Fraud
6 Illinois Investment Advisers Charged With Fraud

January

As Many As 1,000 Hedge Funds to Close in 2003, and Be Replaced
Hedge Fund Loses All Value in 7 Days


   
 
 
 
 



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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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