Stockbroker Problems: Attorney Howard Rosenfield

www.stockbrokerproblems.com

All Howard Rosenfield's editorials are published in the Boomer Times and Senior Life magazine, serving South Florida.

Editorials published by Month (2003):

June	"Global Revolution" or Slap on the Wrist?
May	Variable Annuities–Suitability Requirements
April	Mutual Fund Investors Watch Your Breakpoint!
February	Give me a Breakpoint
January	The Public Gets It, When Will Wall Street?

Editorials published by Month (2002):

December	Lies, But No Videotape
November	Reallocate Your Assets To A More Balanced Approach
October	Investment Losses and Stockbroker Wrongdoing
September	ENRON Lessons
June	Merrill Lynch Pays Off Regulators Not Customers
May	Merrill Lynch & Spring Cleaning
April	D. H. Blair & Co. Microcap Fraud
March	Check Your Financial Vision
February	ENRON Lessons
January	Bonds and Risk

	Avoiding Mutual Fund Fraud
	Q & A Regarding the Distribution Funds in the Analysts Cases
	Conflict Probes Resolved at Citigroup and Morgan-Stanley
	Statement of the Commission Regarding Distribution Funds
	Ten of Nation's Top Investment Firms Settle Enforcement Actions

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This site covers the following topics: duties of stockbrokers, Stockbroker problems, Howard Rosenfield, Misrepresentation, Fraud, Churning and excessive trading, Failure to follow client iinstructions, Unsuitable recommendations, abuse of foreign investors, Unauthorized activity, Employee stock options, Over-concentration, failure to liquidate, High pressure sales tactics, Price manipulation, Breach of Fiduciary Duty, securities fraud,stockbroker negligence, mutual fund switching, mismanagement of accounts, investment fraud