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InternetNews
November 7, 2006
Andy Patrizio |
Appeals Court Will Hear EFF/AT&T Spying Case Both sides are still arguing over whether they even have a case.   |
Registered Rep.
November 1, 2006
Angela Covo |
Skirts Vs. Smith Barney Less than 10 years after they settled the infamous "boom-boom room" case, Smith Barney is being sued for gender discrimination again. |
Registered Rep.
November 1, 2006
Jason Van Steenwyk |
How to Protect Client Assets What can a financial advisor do to protect clients? Start by learning about asset-protection strategies that allow an individual to create legal barriers and disincentives to potential litigants. |
Registered Rep.
November 1, 2006
Ann Therese Palmer |
Listen to Your Client Q: I'm handling and making recommendations in an account for an elderly client who has several million dollars in assets... A: From a liability perspective, should you follow the client's insistence here... etc. |
Registered Rep.
November 1, 2006
Jacob H. Zamansky |
Fighting the U5 The troubling reality is that the fate of the entire securities industry now resides squarely with the Court of Appeals. Fortunately the bench is full of very thoughtful and practical judges, who will hopefully see the wide-ranging impact this ruling will have. |
Registered Rep.
November 1, 2006
Bill Singer |
Secret Agreements with Clients Can Backfire Developing NASD enforcement trends: NASD Conduct Rule 2330: Customers' Securities or Funds... NASD Conduct Rule 2370: Borrowing From or Lending to Customers... etc. |
InternetNews
November 2, 2006
Roy Mark |
Ex-CA Chief Sentenced to 12 Years in Prison Sanjay Kumar, CA's former chief executive, is facing 12 years in prison and an $8 million fine for his role in illegally manipulating the software company's financial results. |
The Motley Fool
November 2, 2006
Rick Aristotle Munarriz |
Let's All Sue Google! What's in a domain? Millions, apparently. Universal Tube's beef stems from the sudden popularity of its website: UTube.com. The bandwidth hit has forced the company to move its site four times. |
Investment Advisor
November 2006
Thomas D. Giachetti |
Defining Fiduciary What is a financial advisor's true fiduciary duty? |
InternetNews
October 31, 2006
Ed Sutherland |
Microsoft's Counterfeit Auction Dragnet In its largest effort so far, Microsoft said it filed suit against 50 online dealers who used eBay and other Internet auction sites to sell counterfeit products to unaware consumers and businesses. |
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