Brokers must take tests. It's a fact of Wall Street life. That some people will go too far in an effort to pass them is sadly a fact of industry life, too. Here are a few of the more egregious examples: That's an Old...
When I was a small boy and I went out with my mother to see her signature notarized, I admired the people who signed their names next to hers and then embossed that really neat seal on the document. It seemed like a...
Andrew Davis Mills was a salesperson and assistant manager in the women's shoe department at Nordstrom's in San Diego. Apparently, Mills and his colleagues were having some difficulty meeting their monthly sales quota...
In October 2003, a back-office glitch made Robert Burns the recipient of $12,000 that did not belong to him. Burns was an advisor with Merrill Lynch, Pierce, Fenner & Smith, and the error involved crediting the funds...
