Stockbroker Problems: Attorney Howard Rosenfield

www.stockbrokerproblems.com

Use these links to learn more about investor fraud and misrepresentation.

SEC	Investor Alerts from the SEC
FCIC	Federal Citizens Information Center for current frauds and scams
FTC	Federal Trade Commissions Consumer Protection
NASD	NASD has helped bring integrity to the markets - and confidence to investors - for more than 60 years.
NASD	Prohibited Conduct Info: You should be aware that certain types of conduct in the securities industry are prohibited, including the information on this page.
NASDR Alerts	Knowledge is the best defense against investment fraud. Reading these Alerts will give you the information you need to protect your money and avoid scams and other investing problems.
NYC Attn. General	Office of NYS Attorney General Eliot Spitzer, article on "CONFLICT PROBES RESOLVED AT CITIGROUP AND MORGAN-STANLEY"
Do's & Don'ts	How to Assist Us in Handling Your Claim and DO’s & Don’ts

NEW! Read NBC News Channel 30's Special Report featuring Howard Rosenfield.

NEW! Recognized by Boomer Times as Advertiser of the Month

04/03	Mutual Fund Investors Watch Your Breakpoint!
02/03	Give me a Breakpoint
01/03	The Public Gets It, When Will Wall Street?

	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