| Date |
Story |
Publisher |
| 10/01/09 |
Bank of America's post-Lewis era has just as many problems |
The Charlotte Observer |
| 08/20/09 |
Peeved about losses, Bahamas couple files $5M arbitration against Merrill |
Investment News |
| 07/10/09 |
NH Couple Files Claim Against UBS Over Structured Warrants |
Dow Jones Newswires |
| 06/09/09 |
Regulators: Fund firm hid losses |
The Boston Globe |
| 05/06/09 |
Schapiro's SEC Gets Cautious Early Thumbs-Up |
Law 360 |
| 04/01/09 |
COMPLIANCE WATCH: Unlisted REITs Draw Scrutiny From Finra |
Dow Jones Newswires |
| 12/31/08 |
Madoff Set to Disclose List of Holdings |
ABC News |
| 11/30/08 |
Lingering Scars |
The Wall Street Journal |
| 10/10/08 |
New wave of class actions filed in wake of subprime collapse |
The National Law Journal |
| 09/09/08 |
'Safe' bets turn perilous as bonds fall |
Chicago Tribune |
| 08/21/08 |
Selling a Free Lunch |
Forbes Magazine |
| 08/18/08 |
Investors burned in auction-rate meltdown |
BusinessWeek |
| 08/15/08 |
Wachovia will buy back up to $9 billion in securities |
The Charlotte Observer |
| 08/12/08 |
Wachovia in talks on bond sales |
The Charlotte Observer |
| 08/08/08 |
Citi, Merrill To Buy Back ARS It Issued Or Sold |
Dow Jones Newswires |
| 08/07/08 |
SEC Probes 'Vomitorium' While More Patients Gag |
Bloomberg |
| 08/07/08 |
Citigroup to buy back 7.5 bln dlrs of tainted securities |
AFP |
| 07/22/08 |
Wachovia Drops Some Brazilian Clients |
Dow Jones Newswires |
| 07/18/08 |
Investors burned in auction-rate meltdown |
The Charlotte Observer |
| 07/01/08 |
Out with the Old: FINRA's New Rules |
On Wall Street |
| 06/24/08 |
US law firm expects more investor claims to follow indictment of Bear Stearns |
Hedgeweek |
| 02/25/08 |
Many investor suits on CDOs may follow HSH case |
Reuters |
| 02/22/08 |
Firms
Giving Loans To Cash-Hungry Clients |
Dow
Jones Newswires |
| 02/01/08 |
Regulation: The Burden and the Backlash |
OnWallStreet.com |
| 11/1/07 |
UBS
Terminates Some Outside Money Managers |
Dow
Jones Newswires |
| 08/30/07 |
Merrill, Morgan Mull New Brokerage Account |
Dow
Jones Newswires |
| 08/21/07 |
NASD Curbs Lawyers’ Subpoena Power |
CCH Wall Street |
| 08/14/07 |
Goldmans in $2bn fund bail out |
Telegraph.co.uk |
| 08/13/07 |
Lawyer Seeks Arbitration Overhaul |
ABA Journal |
| 08/12/07 |
When Arbitrators Are Their Own Judges |
The New York Times |
| 08/10/07 |
Morgan Stanley Tests Fee-Based Advisory Plan |
Dow Jones Newswires |
| 07/27/07 |
Bear Stearns In A Seize And Desist Move |
Hedge Fund Daily |
| 06/07/07 |
Morgan Stanley To Keep Opening New Fee-Based Brokerage Accts |
Dow Jones Newswires |
| 05/16/07 |
Morgan Stanley To Roll Out Fee-Based Advisory Program |
Dow Jones Newswires |
| 05/9/07 |
UBS Mulls Shuttering Fee-Based Brokerage Accounts |
Dow Jones Newswires |
| 03/31/07 |
Ex-Microsoft Staffer Sues Merrill for $1M |
CCH Wall Street |
| 12/19/06 |
Lawyers weigh into UBS fraud accusation |
Financial News |
| 03/29/06 |
Ex-Microsoft employee sues Merrill Lynch over bad advice |
Investment News |
| 03/28/06 |
Law firm says suing Merrill Lynch over options |
Reuters |
| 03/28/06 |
Ex-Microsoft worker seeks damages from Merrill |
Reuters |
| 04/28/05 |
A Poor Fit for Investors? |
BusinessWeek |
| 04/12/05 |
NYSE, SEC Reach Settlement In Fraud Case |
Securities Industry News |
| 01/27/05 |
Microsoft employee awarded damages against investment advisor |
Puget Business Journal |
| 01/06/05 |
Brokerages Sell Advice, Yet Shun Legal Responsibility |
Dow Jones Newswires |
| 02/11/04 |
Dueling Trend Lines on Complaints |
Registered Rep. |
| 12/14/03 |
Over-Concentration Cases: More Fallout From Tech Bubble |
Compliance Reporter |
| 12/04/03 |
More Claims filed against brokers over Microsoft stock option advice |
King County Journal |
| 11/12/03 |
Merrill Lynch & Co., biggest securities firm by capital, faces arbitration... |
Bloomberg News |
| 11/11/03 |
Law Firm: Former Microsoft Worker Files Suit Vs Merrill Lynch |
Dow Jones Newswires |
| 11/10/03 |
Atlanta Salomon Smith Barney office under scrutiny |
Atl. Business Chronicle |
| 11/09/03 |
Merrill Lynch-Wenatchee accused |
The Wenatchee World |
| 08/26/03 |
Smith Barney Settles On WorldCom; Spartis, Elias Continue Fighting |
Registered Rep. |
| 07/04/03 |
Microsoft staff in share options spat: "unsuitable investment advice" |
Computing.co.uk |
| 05/20/03 |
Investors Duped By Wall Street Have Some Options |
Dow Jones Newswires |
| 05/08/03 |
Seeing Evidence in E-Mails After the Wall Street Settlement |
The National Law Journal |
| 05/01/03 |
CMGI Holder/Claim: Charges Merrill with Unlawful Conduct |
Dow Jones Newswires |
| 04/29/03 |
Settlement to Bring Bonanza of Evidence |
The Wall Street Journal |
| 03/09/03 |
Caution: This Hybrid Can Sting |
The New York Times |
| 02/03/03 |
Microsoft ESOP Suits: Merrill, Salomon Named In Claims |
Dow Jones Newswires |
| 02/03/03 |
Claims Target Microsoft Employee Options |
Associated Press |
| 02/01/03 |
Legal Briefs? Not In 2002 |
Registered Rep. |
| 12/20/02 |
Private Litigation Looms After Wall Street Settlement |
Dow Jones Newswires |
| 10/10/02 |
WorldCom Executives Sue |
New York Law Journal |
| 09/11/02 |
Laid-Off Brokers Owe Ex-Employers |
The Wall Street Journal |
| 09/01/02 |
Flipped Out |
Registered Rep. |
| 09/01/02 |
California Securities Arbitrations at a Standstill |
Registered Rep. |
| 08/01/02 |
Lawsuits Against Brokers Soar: Few Investors Expected To Win |
Houston Chronicle |
| 07/24/02 |
WorldCom, Tyco Sued Over 401(k) Losses |
Miami Business Review |
| 06/27/02 |
WorldCom Staffers Now Say 'It's No Different Than Enron' |
The Wall Street Journal |
| 06/26/02 |
WorldCom Employees File Suit Against Morgan Stanley |
Dow Jones Newswires |
| 06/06/02 |
More Firms Named in Microsoft Options Suits |
Seattle Post-Intelligencer |
| 06/01/02 |
Lawyers Do Battle in Stock-Option Cases |
On Wall Street |
| 05/21/02 |
Merrill May Face Class Action Litigation |
Registered Rep. |
| 05/03/02 |
Firm Sues Brokerages On Behalf Of Microsoft Employees |
Dow Jones News Service |
| 04/27/02 |
Local Stock Surfaces in Probe |
Pittsburgh Post-Gazette |
| 04/01/02 |
Bettin' It All on Jack? |
Registered Rep. |
| 03/31/02 |
Outrage Is Rising as Options Turn to Dust |
The New York Times |
| 03/25/02 |
Wall Street's Bum Steer on Options: Errant Broker Advice |
Investment News |
| 03/06/02 |
The Road To Fiduciary Responsibility Via Litigation |
BizWatch |
| 03/04/02 |
Advice and Consent: Where Does Buck Stop on Losses? |
Barron's |
| 03/03/02 |
Brokerage Firms: Despite Costly Sanctions, They Overlooked Scams |
The Plain Dealer |
| 03/01/02 |
Betrayed? |
Registered Rep. |
| 02/28/02 |
Law Firm Still To Pursue Investigation Against Salomon |
Dow Jones News Service |
| 01/26/02 |
Letter From Broker on the Run Blames Employers for Being Lax |
The Cincinnati Enquirer |
| 01/15/02 |
Salomon Smith Barney Sued by WorldCom |
AFP-Extel News Ltd |
| 12/05/01 |
Bankruptcy Filing Says Fraud Suspects Are Without Assets |
The Palm Beach Post |
| 11/07/01 |
Merrill Lynch Funds' Sales Practices Under Investigation |
AFP-Extel News Ltd |
| 01/29/01 |
Broker Made 600K, One Couple Claims: Levitt Flicks, Switch on a Scam |
Investment News |
| 12/19/00 |
Seniors Who Bought Pay Phones Cry Foul |
The Palm Beach Post |
| 06/09/00 |
PaineWebber Unit: Suit Seeks $12.6M In Damages |
Dow Jones News Service |
| 08/06/98 |
MacKay Gained But Others Lost |
The Florida Times-Union |
| 11/27/95 |
Crybaby Investors |
The Palm Beach Post |
| 11/18/95 |
Settlement OK'd in Prudential Case |
The Palm Beach Post |
| 12/11/94 |
Lawyers Heeding Cries of Prudential Investors |
The Palm Beach Post |
