2006Articles
2005 Articles
2004 Articles
2003 Articles
2002 Articles
2001 Articles
2000 Articles
1999 Articles
1998 Articles

VISIT THE STATUTORY DISQUALIFICATION INDEX

2007Articles

• New York State Insurance Department Regulation 60

2006Articles

• Case Analysis: SEC Appeal of Jay Alan Ochanpaugh (NASD): Rule 8210; Rule 3030; Failure to Produce Third-Party Documents

• Case Analysis: SEC Appeal of Ryan R. Henry (NASD): Rule 8210; Rule 9552; Art. V, Sec. 2 of By-Laws; Failure to Update CRD Address

• NASD Dissident Movement: The seminal documents

2005 Articles

• Case Analysis: SEC Appeal of Paul K. Grassi, Jr. (NYSE): Forged drug prescription; Sanction fairness

• Case Analysis: SEC Appeal of Davrey Financial Services, Inc. and Pravin R. Davrey (NASD): Net Capital; FOCUS; Advertising, Letter of Caution

• Case Analysis: SEC Appeal of Nicholas T. Avello (NASD): Net Capital; FOCUS; Remand; Circuit Court of Appeals; Letter of Caution

• Case Analysis:  SEC Appeal of Rooney A. Sahai (NASD):Forgery; Failure to Cooperate

• Case Analysis: SEC Appeal of E. Magnus Oppenheim & Co., Inc. (NASD): Late FOCUS Report

• Case Analysis:  SEC Appeal of Michael A. Rooms (NASD): Penny Stock; Obstruction of Investigation

• Case Analysis:  SEC Appeal of Harry M. Richardson (NASD): Statutory Disqualification; Permanent Injunction; Bar

• Case Analysis:  SEC Appeal of Morton Kantrowitz (NASD): Statutory Disqualification; Permanent Injunction; Guilty Plea

• Case Analysis:  SEC Appeal of Guang Lu (NASD): Unauthorized Discretion; U4

2004 Articles

• Case Analysis:  SEC Appeal of Lee Gura (NASD)
• Case Analysis: In the Matter of James F. Glaza (SEC)
• Case Analysis: Deutsche Bank Securities (NYSE)
• Case Analysis: X, a Former Representative (NYSE Hearing Panel Decision)
• Case Analysis: Fidelity Brokerage Services, LLC (SEC and NYSE)
• New York State Insurance Department Regulation 60 materials
• Case Analysis:  SEC Appeal of Chris Dinh Hartley (NASD)
• Case Analysis:  Clarke T. Blizzard and Rudolph Abel (SEC/RIA)
• Case Analysis:  SEC Appeal of Reuben D. Peters and Peters Securities, Co. LP (NASD)
• Case Analysis:  SEC Appeal of Gina M. Guzzone (NASD)
• Case Analysis:  NASD Hearing Panel Decision Richard S. Jacobson
• Case Analysis:  NASD Hearing Panel Decision Gregory A Eastman
• Case Analysis: SEC Appeal of Anthony H. Barkate (NASD)
• Case Analysis: SEC Appeal of Mark H. Love (NASD)
• Case Analysis: SEC Appeal of Bloomberg L.P. (NYSE)
• Case Analysis: SEC Appeal of Amr Elgindy and Key West Securities, Inc. (from NASD)
• Case Analysis: SEC Appeal of Toni Valentino (from NASD)
• Case Analysis: SEC Appeal of Dane S. Faber (from NASD)

2003 Articles

• Inspector Javert: Milkmen, Barbers and Stockbrokers/ 03-04
• Inspector Javert: Running with Blinders/ 03-03
• Inspector Javert: Peeing in the Pool/ 03-02
• Inspector Javert the ex-State Examiner:/03-01
• Goliath versus Goliath (Labranche e-mail controversy)
• NASD Solves Crisis of Confidence on Wall Street:  Dramatic Proposals Call for Scrutiny of Bad Guys!
• Singer's Discordant Notes 03-15: SEC Finally Gets It Right
• Singer's Discordant Notes 03-14: Iced Coffee
• Singer's Discordant Notes 03-13: The Great Pretender
• Singer's Discordant Notes 03-12: Wall Street Settlement
• Letter to NASD Requesting Investigation of PRU RR agreement
• Wachovia/Prudential:  RRs' Transitional Compensation.
• NASD Consultative Committees

2002 Articles

• New Jersey IA rules
• NYS revises IA de minimis exemption
• NASD Regulatory Releases: Disparate Treatment?
• NTM 02-57: Revised Negative Response Letter Policy
• NASD Says: Can't Trust RRs with Wall Street Reform
• SEC Revises Corporate Insider Reporting 
• NASD RULE 2711: When Size Matters
• Employee Forgivable Loans: Repayment Defense
• Trying to Trade Out of Financial Woes -- Don't
• In the aftermath of Spitzer/Merrill: Regulatory Sanctions
• Discount Commissions, Online Trading, and Analysts
• Borrowing Money from Customers
• Reappraising Self-Regulation/Part III
• NASDR Rule 3030: Pitfalls of Starting a BD
• Reappraising Self-Regulation/Part II
• Reappraising Self-Regulation/Part I

2001 Articles

• Open Letter to NASD: Help Wall Street
• Looking Out for U™: The Court's TRO Decision
• SROs: Quasi-Governmental or Private?
• Looking Out for U™: In court with a TRO
• The Hidden Danger of Outside Consultants' Reports
• Looking Out for U™: Responding to TROs
• Looking Out for U™: Quitting Jobs
• The Trader's Edge™:Execution and Supervision
• Looking Out for U™:NASD's Client Account Transfer Proposal
• Looking Out for U™:The TRO
• Online Attacks: Protected Speech or Fraud?
• Looking Out for U™: The Association Agreement
• Premiere Edition of Looking Out for U™
• Premiere Edition of The Trader's Edge™: Series 55
• SEC Brings Internet Smear Case
• On-the-Record Interviews at NASD: Because we say so!
• NASD NTM 01-06: Inter-customer lending
• NASD Proposes Contested Election Amendments
  

2000 Articles

• Cheap Shots, Bona Fides and Last-Minute Regulation
• Wall Street and Felonies Part II: Statutory Disqualification
• Wall Street and Felonies Part I: Form U-4 Disclosures
• NASD's New 3-Quote Rule
• Negative Response Letters
• Digital Signatures and Securities Industry Transactions
• Online BD Margin Practices
• NASDAQ Listing: Bad Boys Beware!
• Can, Will or Should NASD Survive?
• Recordings and Price Predictions (III)
• Your Word Against the Customer's (II)
• Should You Settle or Fight (I)?
• Series 55: Who needs to register?
• NASD Hard-to-Borrow List
• SEC Reverses NYSE Stale Prosecution
• NASD's E-Mail Fiasco!
• Series 55 Deadline Nears
• NASD Demutualization and Regulatory Reform
• Arbitrating Discrimination Matters
• Error Accounts
• On-Line Short Sales
• OTCBB: Recap and symbols

1999 Articles

• On-Line Short Sales
• OTCBB:Recap and symbols
• SEC's Microcap Agenda
• NASD to Codify Free-Riding
• Assault on the Floor of the NYSE
• Employment Agreements/Part I
• Employment Agreements/Part II
• Employment Agreements/Part III
• Employment Agreements/Part IV
• New NASD Clearing Firm Rules
• Churning: Definitions and Calculations
• Understanding Scienter and Fraud
• Mutual Fund Switching
• NASD Examination Waivers
• NASD Short Sales Notice to Members
• Your Right To Counsel in NASD On-the-Records
• SEC Amends Rule 504 of Regulation D
• SEC Sustains NASD's 2 Year Jurisdiction in Forgery Case
• Special Commentary: The Day Trading Witch Hunt
• NASD Day Trading Regulation Proposals
• NASD Notice to Members 99-12
• Continuing Commissions After Death, Retirement, or BD's Sale
• Unregistered Order Takers During Volatile Markets
• Sales Practices Violations: Some Clear Definitions from SEC
• NASD Notice to Members 99-11
• NYSE Rule 80A
• NASD Caves in to NASAA Pressure on Arbitration Orders
• SEC Sanctions Website Misconduct
• Aiding and Abetting Part 5 (Graham & Voss)/Supervision
• Aiding and Abetting Part 4 (Havill)/RR's Exposure
• Aiding and Abetting Part 3 (Chema)/RR's Exposure
• Aiding and Abetting Part 2 (Chema)/RR's Exposure
• New U.S. Supreme Court Ruling on Sexual Harassment/Discrimination *

1998 Articles

• Aiding and Abetting Part 1(Broumas) /Customer's Scheme
• SEC Brings Case, Loses, and Ordered to Pay Defendant
• SEC Criticizes NASD's Decision to Bar RR
• Private Placement Pitfalls
• NASD's Free-Riding and Withholding Interpretation
• Last Known Addresses on CRD
• Stock Promotion Payments
• SEC v. Olde Discount Part 4/ Sales Practice Abuses
• SEC v. Olde Discount Part 3/ Recruitment and Sales Practices
• SEC v. Olde Discount Part 2/ Compensation Practices
• SEC v. Olde Discount Part 1/ Sanctions
• Money Laundering, Jail, and RRs
• Tough Talk and Threats Gets RR Barred
• Small Firms' Compliance Responsibilities