INDUSTRY NEWS THAT YOU NEED TO KNOW

A GUIDE TO PROFESSIONAL LIABILITY INSURANCE FOR THE INVESTMENT PROFESSIONAL
Securities Arbitration Commentator
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ARTICLE I - INVESTMENT ADVISER FRAUD
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ARTICLE II- INVESTMENT ADVISER ENFORCEMENT CASES
Investment Adviser Enforcement Cases
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ARTICLE III - INVESTMENT ADVISER SANCTIONS
The Three Tier Sanction Scheme
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ARTICLE IV - THE BEDROCK PRINCIPLE FOR INVESTMENT ADVISERS
Broker-Dealer or Investment Adviser
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FIDUCIARY DUTY
Investor in Variable Annuity can Sue for Beach of Fiduciary Duty
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DON'T BE LIKE MARTHA
Testifying in Regulatory investigations and how not to be another "Martha"
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INVESTORS WIN BIG!
Investors Win Record $194 Million in Arbitration Awards against Brokerages in 2004
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