Section Newsletters

Articles From Andrew J. Stoltmann

The NASD announces regulatory enforcement actions to curb annuity sales abuses By Andrew J. Stoltmann Business and Securities Law, February 2002 In the last eighteen months, the National Association of Securities Dealers ("NASD") has increased regulatory enforcement actions against member firms and registered representatives for variable annuity sales abuses.
Major brokerage firms propose hollow solutions for research analyst conflict of interests By Andrew J. Stoltmann & Thomas A. Hargett Business and Securities Law, December 2001 In the last three months, brokerage firm research departments have come under intense scrutiny for alleged undisclosed conflict of interests.
The NASD launches a Single Arbitrator Pilot Program for arbitration claims between $50,000.01 and $200,000 By Andrew J. Stoltmann Alternative Dispute Resolution, November 2001 On February 15, 2000, the Securities and Exchange Commission approved Rule 10336 and added it to the NASD Code of Arbitration Procedure
NASD outlines new online suitability obligations for brokerage firms By Andrew J. Stoltmann & Thomas A. Hargett Business and Securities Law, June 2001 On March 19, 2001, the National Association of Securities Dealers ("NASD") released Notice to Members 01-23 ("NTM 01-23").
The NASD Launches a Single Arbitrator Pilot Program for arbitration claims between $50,000.01 and $200,000 By Andrew J. Stoltmann Business and Securities Law, May 2001 On February 15, 2000, the Securities and Exchange Commission approved Rule 10336 and added it to the NASD Code of Arbitration Procedure.

Spot an error in your article? Contact Celeste Niemann at cniemann@isba.org. For information on obtaining a copy of an article, visit the ISBA Newsletters page.

Select a Different Author