Karen Donovan

Karen’s Recent activity

U5 Hazard
Oct 01, 2007
Brokerage firms can say anything they like on a departing broker's Form U5, even if it's defamatory in nature and untrue. That's because the New York Court of Appeals ruled in Rosenberg v. MetLife Inc. that brokerage...
A LICENSE TO LIE
May 01, 2007
WHEN YOU DECAMP one brokerage for another, your firm can say anything it wants about you on your Form U5 even if it's a lie, even if it's defamatory, just to punish you.
Arbitration Tweaks
Mar 01, 2007
Nearly everybody seems to complain about arbitration (well, accept for the firms). In late January, the SEC tried to help improve the system by offering a new code of procedures for picking arbitrators. But as...
Defamed?
Mar 01, 2007
YOU CAN BARELY MAKE OUT THE FACE of Chaskie Rosenberg in the photocopy of a newspaper advertisement in his court file. In the late 1990s, Metropolitan Life Insurance Co. placed the ad in Hamodia, an Orthodox Jewish...
Buried Treasure
Mar 01, 2007
It is the rarest and most valuable coin in the world, designed by a famed sculptor at the request of President Theodore Roosevelt in 1905. It should never have been minted. And, for decades, the U.S. government has...
Fix Arbitration Now
Jan 01, 2007
As mandatory arbitration hits the 20-year mark, Registered Rep. looks at gripes —old and new—and how to fix them.
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