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9/30/2008
WealthWise adviser allegedly got kickbacks for uging clients to invest millions in risky fund
San Luis Obispo Tribune
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9/29/2008
On Wall Street
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9/24/2008
Warning Signs of Imminent Market-Meltdown Ignored for Years
The Public Record
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9/17/2008
Stunned Investors Spur Bull Market in Complaints
Bloomberg
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8/28/2008
Weasel Brokers Whine When Faced With New Rules
Bloomberg
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8/25/2008
ARS deals snub corporate buyers
Financial Week
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8/11/2008
ARS settlements galore, but corporate holders left in the lurch
Financial Week
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8/8/2008
The Deal
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8/7/2008
Finra Alters Auction-Rate Dispute Process
Dow Jones Newswires
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8/5/2008
Merrill Lynch analysts backed debt, complaint says
Bloomberg
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7/30/2008
Arbitration Tilting More Against Investors
Bloomberg
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7/11/2008
Miami Herald
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6/20/2008
In Bear Stearns Case, Question of an Asset’s Value
New York Times
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6/20/2008
Cioffi Fund Hoisted in Vodka With Tannin Began Bear’s Endgame
Bloomberg
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6/5/2008
Firms, Not Brokers, Faulted on Auction-Rates
Wall Street Journal
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6/4/2008
Investors File Claims Against Bear Stearns
Wall Street Journal
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5/5/2008
FINRA Wants Arbitration Claims Against Unnamed Brokers Reported
ADRWorld.com
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5/1/2008
Finra Plan + Auction-Rate Mess = Anxiety
Dow Jones Newswires
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4/26/2008
Use caution with auction rate certificates
Kansas City Star
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4/22/2008
Class action against Citigroup over hedge fund losses
Infovest21 News
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2/20/2008
San Luis Obispo Tribune
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2/19/2008
Subprimes and the Institutional Plaintiff
Hedge World
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2/18/2008
Morgan Keegan Fund Troubles Hit Employees
Memphis Daily News
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2/13/2008
Explaining Arbitrator Awards May Satisfy Some
Dow Jones
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1/10/2008
Securities Lawyers Brace for Subprime Crisis Fallout
The Indianapolis Star
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1/2/2008
Morgan Keegan Settles With Indiana Charity for Undisclosed Amount
Memphis Daily News
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12/27/2007
Top local business stories of 2007: For sapped local investors, a dark year
San Luis Obispo Tribune
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12/17/2007
RMK Funds Have Legal Wheels Rolling
Memphis Daily News
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12/12/2007
Lawsuits Imminent on Behalf of RMK Investors
Memphis Daily News
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12/10/2007
Local Firms Suit Up for Subprime
Daily News
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12/7/2007
Bankrupt Cayman Islands Hedge-Fund Clients File New Claims
Bloomberg
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12/5/2007
Bear Stearns Faces New Round of Hedge Fund Claims
New York Times
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12/3/2007
Investment Dealers Digest
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11/28/2007
U.S. Subpoena Asks Genesco for Papers Related to Merger
Tennessean.com
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11/28/2007
Mortgage Market Collapse Leads to Investor Claims Against Morgan Keegan
PR Newswire
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11/23/2007
Investment scandal: Mislabeling of stock orders can be serious
The Tribune
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11/21/2007
The Tribune
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11/5/2007
Hedge funds next target of plaintiff’s bar?
Investment News
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11/4/2007
Family Finances. Trading Dispute? Try Mediation.
Wall Street Journal
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11/3/2007
14 more investors who lost millions file claim
The Tribune
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11/1/2007
Central Coast investors lose millions in hedge fund deal
KSBY 6 Action News
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10/28/2007
‘It was just a lie’, period: Investors say risk was repeatedly downplayed
San Luis Obispo Tribune
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10/28/2007
Investment Fund Fails; Locals Lose Millions
San Luis Obispo Tribune
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10/17/2007
FINRA Proposes Rule Limiting Motions to Dismiss in Arbitration
ADR World
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10/1/2007
High-profile lawyer, and others, lining up stable of clients claiming hedge fund misled them
Investment Dealers Digest
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9/28/2007
Mediation Can Be Good Alternative To Arb
Dow Jones
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9/11/2007
Aidikoff, Uhl & Bakhtiari Files Class Action Lawsuit Against Morgan Stanley – MS
Prime Newswire
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9/11/2007
Law Firms Band Together In Arbitration
Total Securitization
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8/28/2007
New York Post
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8/16/2007
Four Law Firms Join to Sue Bear Stearns for Hedge Fund Losses
Business Wire
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7/14/2007
Mortgage Bets Trip Up Main Street Investors — And a Group of Nuns
Wall Street Journal
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7/10/2007
A.G. Edwards fined for poor supervision
Investment News
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5/16/2007
Change Is in the Wind On Investor Arbitration
Wall Street Journal
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3/30/2007
Fair or Foul: Arbitration at 20
Dow Jones Newswires
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3/28/2007
Arbitration System Looks More Like Court
Dow Jones Newswires
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7/27/2006
NASD Drops ‘Controversial’ Approach to Arbitration Motions
ADR World
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6/2/2006
Newport Broker to Pay $3.8 Million
Orange County Register
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5/31/2006
NASD Arbitration Panel Finds Wedbush Morgan Securities, Inc. Liable to Investors
PR Newswire
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5/5/2006
Heightened Supervision Standards Vary
Dow Jones Compliance Watch
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5/1/2006
Registered Representative
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4/24/2006
The Business Press
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4/18/2006
A.G. Edwards Fined By NASD in Annuity Case
Los Angeles Times
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4/17/2006
NASD Arbitration Panel Finds A.G. Edwards Liable and Orders Full Restitution
PR Newswire
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2/9/2006
Money Magazine
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4/7/2005
Brokers’ Pasts Can Still Be Covered Up
Wall Street Journal
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3/13/2005
Industry Report Cards For Stockbrokers Questioned
Naples Daily News
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2/22/2005
Hedge Funds Can Be Headache For Broker, as CIBC Case Shows
Wall Street Journal
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2/22/2005
NASD Arbitration Panel Finds American Express Financial Advisors Liable
PR Newswire
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12/2/2004
Ex-Sands Bros. Clients Fear Firm Will Shirk Awards
Dow Jones Newswires
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11/18/2004
Morgan Stanley to Pay $452,034 for Broker’s Traders
Reuters
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11/18/2004
Lawyer: NASD Fines Morgan Stanley $452,034 For Breach
Dow Jones Newswires
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11/17/2004
NASD Arbitration Panel Finds Morgan Stanley Liable and Orders Full Restitution
PR Newswire
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7/26/2004
Broker Sands Is Probed by NASD
New York Post
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7/23/2004
NYSE Panel Awards Investor $3.1M Haul
New York Post
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7/22/2004
Finisar Holder Wins $3.1M vs. Sands Bros. On Failed Hedge
Wall Street Journal Online
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7/20/2004
NYSE Arbitration Panel Awards $3.1 Million Against Sands Brothers & Co., Ltd.
PR Newswire
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4/5/2004
NASD Arbitration Panel Awards Retired Investor $1 Million
PR Newswire
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4/5/2004
NASD Awards $1 Million to Prudential Client
Reuters
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3/18/2004
NASD Arbitration Panel Finds Smith Barney Liable
PR Newswire
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3/2/2004
NASD Arbitration Panel Finds First Union Liable
PR Newswire
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1/18/2004
It’s Not That Easy to Win Damages Against a Broker for Bad Advice
Los Angeles Times
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1/9/2004
Investors Win Arbitration Case
Los Angeles Times
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9/8/2003
Fund Probe Casts Shadow on Wall Street
Los Angeles Times
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8/25/2003
Californians May Win Right to Sue Brokerages
Los Angeles Times
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7/29/2003
Arbitration Award against Investment Firm that Traded Clients’ Retirement Accounts
Los Angeles Daily Journal
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7/27/2003
Aggrieved Investors Face the Big Fight; Contentious Brokerage Arbitration Renews a Debate
Los Angeles Times
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7/2/2003
Bubble Investors Can Still Try Arbitration, Other Courts
Dow Jones Newswires
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7/2/2003
Broker Research Bias Suits Dismissed
New York Post
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6/15/2003
Fuming Market Investors Ponder Their Legal Options
Los Angeles Daily Journal
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6/8/2003
Annuity Offers Often Confusing, With Hidden Risk
Cleveland Plain Dealer
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5/27/2003
With Wall Street on Defensive, Claims Against Brokers Surge
Wall Street Journal
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5/15/2003
NASD Panel: Merrill Liable for Breach of Fiduciary Duty
Dow Jones Business News
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5/15/2003
Merrill to pay $331,000 to embittered ex-client
Reuters
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5/12/2003
Securities Regulators Served Up a Fresh Helping of Outrage Last Week
Newsweek
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5/6/2003
Forbes
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5/5/2003
Business Week
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5/2/2003
Do you have a case against Wall St. banks?
USA Today
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4/30/2003
Los Angeles Times
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4/29/2003
Morgan Stanley Loses Arbitration Case
CBS Marketwatch
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4/29/2003
NASD Arbitration Panel Finds Morgan Stanley Liable And Orders Full Restitution
PR Newswire
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4/29/2003
Regulator, Lawyer Discuss Wall Street’s Settlement
Wall Street Journal Online
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4/23/2003
Judge Rejects New Disclosure Requirements: U.S. Rules Pre-empt State’s Ethics Law
Los Angeles Daily Journal
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4/4/2003
Attorneys Who Pursue Brokers Often Manage Their Own Money
Dow Jones Newswires
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4/3/2003
New York Post
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3/10/2003
Stop Loss Discipline Fails Stock Brokerage: Arbitration Panel Awards Two Merrill Lynch Clients
The Daily Journal
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3/6/2003
DJ Merrill Loses $2M to Two It Says Copied Film Exec Picks
Dow Jones Newswires
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2/19/2003
Merrill Lynch Ordered to Pay $2.1 Million in Arbitration
PR Newswire
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2/18/2003
Can You Afford To Trust Your Stockbroker?
NBC4.TV
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2/11/2003
Disgruntled Investors Face Tough Choices as Arbitration Bogs Down
Los Angeles Times
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1/31/2003
Arbitration Cases Target Use For Stocks and Home Mortgages
Investment News
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1/1/2003
Firms Get Tough; File Counterclaims Against Disgruntled Customers
OnWallstreet.com
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12/20/2002
Private Litigation Looms After Wall Street Settlement
Dow Jones Newswires
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11/19/2002
Wells Fargo must pay $1.15 million to woman wrongly arrested by FBI
San Diego Union Tribune
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11/19/2002
Panel Rules Wells Fargo Must Pay, Admit Mistake
Wall Street Journal
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11/18/2002
Wells Fargo Securities, Inc. Found Liable and Ordered To Pay
PR Newswire
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11/15/2002
Stock Exchange Says It Will Skirt California’s ADR Standards
The Recorder
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11/1/2002
Law & Order: Client-Broker Disputes
Registered Representative
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10/10/2002
Mighty Merrill Lynch bogs down in legal troubles
USA Today
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10/7/2002
Firm Breaks Through Hearings Controversy
Los Angeles Business Journal
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9/17/2002
Life After Lompoc: Post-Prison, Executives Face Rough Re-Entry
Wall Street Journal
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9/8/2002
Investors Burned in Bear Market Turn On Brokers
Seattle Times
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8/30/2002
California Fights NYSE, NASD On New Arbitrator Disclosures
Wall Street Journal
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8/29/2002
Merrill Lynch Appeals $7.7M Award
Newsday
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8/20/2002
NASD Sued for Stalling Disputes
The Daily Journal
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8/14/2002
Broker’s plea is good news for victims who are suing
Cleveland Plain Dealer
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8/2/2002
Our Arbitration Rules Or No Game
CBS Marketwatch
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5/31/2002
Brokerage Watchdog Fights For Credibility
USA Today
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5/21/2002
With Spitzer Case Settled, Merrill Now Faces Angry Public
TheStreet.com
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5/10/2002
Dear Dagen: Navigating the Arbitration System
TheStreet.com
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5/10/2002
How Settlement Is Worded Could Be Costly To Merrill
New York Times
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5/6/2002
Greed, Fraud & Apologies: Corporate America’s New Bottom Line
Syndicated Columnist
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5/1/2002
Merrill’s Apology Fails to Cool Investor’s Anger
New York Times
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4/25/2002
Merrill Lynch Found Liable and Ordered to Compensate Investor Patricia McNamara
PR Newswire
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3/5/2002
Associated Press
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2/16/2002
Avoid Falling Prey to Investing Scams
Wall Street Journal
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2/4/2002
PIABA Supports Legislation Requiring the Diversification of Employee 401(k) Plans
PR Newswire
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1/14/2002
As States Back Court Confirmation Plan
Compliance Reporter
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12/3/2001
Investor Gene Hines Files for Arbitration Against Merrill Lynch Based
PR Newswire
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11/25/2001
Competition Rages on How Stocks Trade
New York Times
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11/5/2001
New PIABA Prez Targets Expungement, Arbitrator Classes
Compliance Reporter
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10/13/2001
Investors Cry Foul As Money Vanishes
The Spokesman-Review.com
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10/1/2001
Money Magazine
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9/11/2001
Investors Blame Brokers For Loss
San Jose Mercury News
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8/20/2001
Arbitration Makes Flood of Brokerage Claims Unlikely
Los Angeles Business Journal
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8/12/2001
Bitter Investors Want Brokers To Pay
Kansas City Star
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8/10/2001
Investors Win Small in Analyst Dispute
Los Angeles Times
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7/25/2001
Investor Anthony Schultz Files For Arbitration Against Salomon Smith Barney, Inc.
PR Newswire
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7/18/2001
NetTrends: How risky margin trading cost small investors
Reuters
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6/20/2001
Some Investors Face Flip Side of Arbitration
Los Angeles Times
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5/18/2001
Stung By Stock Losses, Investors Blame Brokers
USA Today
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5/5/2001
Arbitration Filing Rise in Grim Market
Los Angeles Times
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4/19/2001
Going After Your Broker. NASD Arbitration Claims Rise with Market Drop
CBS Marketwatch
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3/21/2001
NASD Issues E-Brokerage Investor Protections Regulation
Los Angeles Times
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3/11/2001
Online Firms Seen Swapping Arbitration for Mediation
Financial Net News
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2/13/2001
The Boston Group and Founder Robert Diminico Found Liable and Ordered to Pay
PR Newswire
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2/13/2001
Investors Seeking Justice Gain Little In New NASD Rules
Dow Jones Newswires
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11/6/2000
Sue-It-Yourself: Going After Your Online Broker
Forbes.com
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10/30/2000
E*Trade Ordered to Pay $38,226 to Customer for Pricing Error
PR Newswire
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10/30/2000
E*TRADE Securities, Inc. Found Liable and Ordered to Compensate On-Line Investor Morgan Roach
PR Newswire
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9/12/2000
TheStreet.com
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8/10/2000
Inexperience at Online Firms May Jeopardize Investors
HorsesMouth.com
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8/8/2000
E*Trade Must Repay Customer $60,000
Forbes.com
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8/7/2000
E*Trade Is Ordered to Pay Customer in Trade Dispute
Wall Street Journal
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8/7/2000
E*Trade Securities, Inc. Found Liable and Ordered To Pay Investor Ali Khadivi $61,203
PR Newswire
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8/7/2000
Investor-Protection Agency’s Scroogelike Ways Draw Fire in Trade Dispute
TheStreet.com
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8/7/2000
E-Trade to pay customer for order gone awry
Reuters
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7/21/2000
Lawyers Group Alleges NASD’s Arbitrations Biased for Firms
Los Angeles Times
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7/16/2000
Legal Claims by Online Traders Are On the Rise as Market Turns Stormy
Wall Street Journal
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6/28/2000
Money.com
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6/26/2000
No safety yet in fraud net : SIPC dog-and-pony show fails to convince critics
Investment News
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6/20/2000
SIPC Expected to Announce Record Pay of $31 Million
Wall Street Journal
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6/13/2000
Firms Often Leave Investors At Mercy of Computer Errors
Wall Street Journal
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5/1/2000
Arbitration Panel Awards $311,954 to Disabled Couple
Unknown
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3/3/2000
Role as Big Nasdaq Market Maker Helps Knight/Trimark’s Portfolio
Wall Street Journal
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2/2/2000
Should online brokerages curb risky trades?
USA Today
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1/24/2000
Ameritrade Case Shines Light On Online ‘Suitability’ Claims
Wall Street Journal
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12/28/1999
Imperial Capital Group, LLC Pay $901,567 to Former CEO
PR Newswire
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11/22/1999
Regulators’ Comments Suggest More Flux at Online Brokers
TheStreet.com
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9/27/1999
Who’s Responsible When Clients Take a Flier?
Registered Representative
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7/27/1999
Los Angeles Times
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7/19/1999
Faster Moves For Online Traders
Fortune Magazine
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6/30/1999
Investor Ali Khadivi Files for Arbitration Against E*Trade Securities, Inc.
PR Newswire
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6/28/1999
Disputes With Online Brokers Could be Frustrating to Resolve
Wall Street Journal
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4/9/1999
Web site raises question of conflict
MSNBC
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4/1/1999
Investor Files For Arbitration Against Internet Based Broker Web Street Securities, Inc.
PR Newswire
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2/4/1999
Glitches dog E*Trade for second day
CNBC
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2/4/1999
Glitch Idles E-Trade Customers
Washington Post
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12/20/1998
Many Unhappy Returns / Ex-Stratton customers still fighting to recoup $130M
Newsday
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10/30/1998
Federal District Court Orders Prudential and Smith Barney to Pay
Unknown
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10/11/1998
Regulators close in on Naples brokerage firm A.S. Goldmen & Co.
Naples Daily News
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9/7/1998
Could you fall this hard for a stockbroker’s scam?
Medical Economics
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8/14/1998
Part Four Beware of that strange voice on the phone
As seen on CNBC & MSNBC
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8/13/1998
Part Three Securities self-policing comes under scrutiny
As seen on CNBC & MSNBC
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8/12/1998
Part Two Regulators get tough on securities fraud
As seen on CNBC & MSNBC
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8/11/1998
Part One A tale of two victims
As seen on CNBC & MSNBC
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6/8/1998
Investors Complain Of Losing Thousands At Walsh Manning
Dow Jones Newswires
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4/17/1998
Former Broker at Duke & Co. Accuses Managers of Engaging in Misconduct
Wall Street Journal
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4/1/1998
NASD Panel Orders Duke & Co. To Pay Former Broker $120,000
Dow Jones Newswires
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4/18/1997
Former Stratton Execs Fined $10M
Newsday
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4/18/1997
Investor Wins $10 Million in Penny-Stock Broker Case
Los Angeles Times
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4/18/1997
Record Award may alter arbitration cases
USA Today
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4/17/1997
Panel Awards Record Amount In Stratton Case
Wall Street Journal
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11/20/1995
Woodland Hills stock brokerage ordered to pay $1.99 million in arbitration case
Los Angeles Business Journal
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