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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
Bear Stearns Loses $3.9 Million Customer 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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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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