Driven to Defy Donor Intent?
The Rose Art Museum at Brandeis University in Waltham, Mass., has built an impressive collection of contemporary artists since it opened in 1961. But
The Clean Slate Club
The proposed FINRA rule would change current practice-which renders arbitrations a virtual black box in which the arbitrators need not explain how they decide a case.
The Fight Is On
When a client opens a brokerage account, he agrees that he won't sue you, the registered rep, in a court of law. In opening the account, the client agrees
The Expungement Crusade
Wall Street Breathed a Sigh of Relief when Eliot Spitzer moved into the governor's mansion in Albany. Word was that Andrew Cuomo, New York's newly elected
U5 Hazard
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
A LICENSE TO LIE
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.
Defamed?
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
