Cover of Book, Brokerage Fraud


Order Now Button for Book, Brokerage Fraud


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 . ."


Use the link below to get details, qualifications, certifications, licenses, as well as regulatory actions and violations or complaints on Brokers & Brokerage Firms.


link to FINRA for Broker Check

North American Ssecurities Administrators Association


icon to link NASAAContact State Regulators

- Search by state



(click icon to access site)


Investment Adviser - 

Search for an Investment Adviser Firm and Individual Investment Representative currently registered with the SEC and State Securities Regulators

icon linking to Public disclousure - SEC



(click icon to access site)

____________


Investment Adviser Data -

  • SEC Investment Advisers Report
  • State Investment Advisers Report
  • Investment Adviser Representative 

    Report


Latest Report - Download available

Investment adviser's report

(click icon to access site)

__________


U.S. SECURITIES 

EXCHANGE COMMISSION -


Icon for the SEC websiteTo protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

 (click icon to access site)

ONLINE AND INTERNET TRADING

There is nothing more exciting and frustrating than trading stocks on the Internet. In addition to trading stocks since 1964, Mr. Schulz opened and began trading his first Internet account in 1977. Since that time he has had an Internet/online trading account with almost all the major Internet brokerage firms. The complaints about on-line and Internet trading escalated with the surge in trading volume in 1999. Mr. Schulz has been a securities expert in almost every type of online trading case. The following are just a few examples: improper margin liquidation, late or improper order execution, unfair or unprofessional handling of the client's account or orders, order failure, and inadequate or inept account and customer service.

Mr. Schulz is actively sought out for his insights into margin issues, trading issues, and option issues in online/internet trading cases, working recently on cases involving firms such as Options Express, Interactive Brokers, and Ameritrade. In 2010, Mr. Schulz was the sole testifying expert for the claimants in an online trading case against Ameritrade. Due, in part, to Mr. Schulz's investigation, case preparation, and testimony at the hearing, the claimants were awarded almost $7 million ($6,924,538). The result was so significant that the award was reported in the PIABA Bar Journal's Volume 17 No. 3. 

Mr. Schulz has written four articles on the subject and has just published an article, "on Naked Options" which deals ith Internet/Online Trading. (PIABA Bar Journal, Volume 20, No. 1 201)

In October of 2000, Mr. Schulz spoke at the Public Investor's Arbitration Bar Association (PIABA) annual meeting on internet trading. In 1999, Mr. Schulz also spoke and gave computer demonstrations on the mechanics and problems of Internet trading at the national Practicing Law Institute annual seminar on Securities Arbitration in San Francisco, California and at the Public Investor's Arbitration Bar Association (PIABA) annual meeting in Palm Desert, California.


Mr. Schulz is well qualified to address any issue you have regarding online or Internet trading.