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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

November

SEC Probes Mutual Funds For "Portfolio Pumping" and "Window Dressing"

NASD Alleges Dean Witter Misstated Risks on Bond Mutual Funds

SEC Charges Jeffrey Grayson and Capital Consultants With Fraud

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

Viatical Industry Reeling From Fraud And Theft

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

New CRD "Registration Comment" Section Allows Private Notes About Brokers

September

SEC Files Complaint Against Capital Consultants, LLC, Of Portland, Oregon Over Ponzi Scheme

Margin Abuse Claims On The Rise At The NASD

August

Solomon Smith Barney Broker Wins CAP and Bonus Suit

July

Year End Bonus Still May Be Available After Job Termination

All-Tech Day Trading Firm Charged With Wrongdoing

Duke & Co. Stockbroker Sentenced and Fined

June

Massive Stock Fraud Involving Organized Crime and Others Alleged By Justice Department and SEC

E-Trade Receives Many Customer Complaints

GAO Urges More Rules For On-Line Brokers

May

Merrill Lynch Fined $750,000 For Activities of Massachusetts Broker Richard Greene

Bear Stearns to Pay Investor $111.5 Million For Currency Trading Losses

Hedge Fund Manager Michael Higgins Charged Securities Fraud

Dreyfus to Pay $950,000 to Settle Charges Related to Misleading Advertising

Paine Webber Sues Morgan Stanley Dean Witter in Raiding Case

April

Bear Stearn�s Ex-Official Stiffly Fined Over Clearing Role Debacle

Giacchetto, Financial Advisor to the Stars, Charged with Securities Fraud

March

Monetta Financial Services Ordered to Pay $300,000

Brokerage Firms Are Not Following Best Hiring and Compensation

Web Sweeps Uncover 1,600 Sites With Get Rich Quick Scams

SEC Examining Auditing Firms That Also Peddle Corporate Tax Shelters

Centennial Technologies' Former CEO Pleads Guilty to Securities Fraud

Everen Securities Wins Raiding Case Against Raymond James

Brokerage Firm LT Lawrence Barred From Industry

1/2 of SEC's Brokerage Firm Exams Uncover Deficiencies

February

SEC Sues Prominent Sports Agency for Defrauding Pro-Athletes

January

Beware of Receiving Bonuses in Variable Annuities

Josephtal & Co. Brokerage Charged with Fraud

SEC Investigates WMA Securities for Insurance Sales Abuses in the Sale of its "Prime Assets Home Loan"

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