In response to some privacy concerns raised by brokers and the industry, the NASD is asking for comment on whether brokers non-investment-related felony convictions should be disclosed via the Internet.The issue is heating up as the NASDR gets set...

Since 1990, First Union Brokerage Services of Charlotte, N.C., has sold securities in at least nine states without proper registration, according to the companys CRD record. Each time state regulators learned of the violations, the firm was...

The U.S. Court of Appeals for the First Circuit in Boston is pushing for a settlement in Susan Rosenbergs discrimination case against Merrill Lynch. That case produced a landmark ruling by Federal District Judge Nancy Gertner, stating that...

Last year, not surprisingly, was the best year ever for brokers.Median production for retail brokers was a record $303,366 in 1997, and median W-2 earnings hit an all-time high of $119,010, according to data from the Securities Industry...