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Reviews


The authors have taken the rules and regulations of the brokerage industry and put them in laymen’s terms. -- Professor William C. Tyson, The Wharton School & The Law School of the University of Pennsylvania


The Book, Brokerage Fraud is a must read for all compliance professionals and brokerage firm's compliance and legal departments.

Complinet.com


This book is a timely wake up call to the brokerage industry to clean up its ways. -- George D. Mullen, Vice President UBS PaineWebber


Tracy Stoneman and Douglas Schulz certainly know what Wall Street brokerage firms wish you didn't. -- Evan Cooper, Editor-in-Chief, On Wall Street, Co-Author


This book can save you thousands of dollars and loads of headaches! -- Jordan E. Goodman, author of Everyone's Money Book


Had "Brokerage Fraud" been available to my wife and I eight years ago, it may very well have saved us the fortune we lost to a mercenary industry that promotes itself as caring and responsible, when in fact it cares mostly for itself.


"Brokerage Fraud" is frank and friendly, organized, comprehensive, easy to digest -- and quite unique, too, because the distinguished authors tell all about an autonomous, all-powerful institution that routinely sheers the uninitiated."


". . . I am an attorney and an investor. Yet, I must say that each chapter of 'Brokerage Fraud' brought new information and insight that is invaluable . ."


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IF YOU ARE A BROKER


In addition to working for claimants as a securities expert, Mr. Schulz also avails himself to the brokerage firms and brokers as a securities expert. As an individual who is intimately knowledgeable and personally familiar with the relationship between the brokerage firms and their brokers, Mr. Schulz is more than qualified to act as an expert in this field. The sad reality is that though Mr. Schulz has worked for a number of the largest firms, such as Prudential Securities Inc., Dean Witter (now Morgan Stanley Dean Witter), and A.G. Edwards, more of Mr. Schulz's work tends to be for individual brokers, as opposed to brokerage firms. The areas where Mr. Schulz can most likely be of help to a broker would be in the area of licensing, defamation, contractual disputes and wrongful termination.             

If you are a stockbroker, registered investment advisor, or some other securities professional and you as of yet have not hired a lawyer to represent you. You might consider contacting my wife, Tracy pride Stoneman, Ms. Stoneman is a nationally known securities attorney.