December 2003

Selling Away
Representatives of securities brokerage firms must obtain approval for and supervison of all securities transactions with customers. This article, written to securities firm representatives, warns them of some traps to watch out for.

August 2003

A Tale of Trouble
A cautionary tale for financial planners and securities representatives, about unauthorized trading and unsuitable recommendations.

October 2001

Investment Banking: Arbitration
The conventional wisdom says a customer always can bring an arbitration against a securities broker, whether or not there is an arbitration agreement. No longer trust conventional wisdom. The Eighth Circuit Court of Appeals now says that clients who only receive investment banking advice cannot force arbitration of disputes.

May 2001

Avoiding the "Yes"
Managers or compliance officers fielding an oral customer complaint often request that the customer put it in writing so the firm can better respond. There are many advantages to doing this. However, there is also a strong disadvantage. Learn this and more tips about avoiding a black mark on your rep's public U-4 record. 

March  2001

Have You and Your Employees Agreed to Arbitrate Discrimination Claims?
The U.S. Supreme Court has upheld your right to enforce arbitration agreements in disputes with employees, but the NASD has restricted the scope of the arbitration clause in Form U-4 to exclude discrimination and sexual harassment claims from employees. Do you have arbitration agreements with your employees?