Is Wall Street Cleaning Up Its Act Or Merely Paying the Fines? RRBDLAW.com issues its monthly report card.

RRBDLAW.com, Wall Street's leading site for regulatory analysis, reports on recent NASD, NYSE, and SEC decisions. Learn who's doing what, what fines and suspensions are imposed, and what enforcement trends are emerging

(PRWEB) July 28, 2004 -- RRBDLAW.com spots the developing enforcement trends on Wall Street. Nationally known regulatory lawyer Bill Singer, Esq. provides his unique blend of insight and provocative commentary.

CASES OF NOTE

Emails are sent trying to obtain confidential information about the safety and effectiveness of a medication rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2004.htm (see, Mark J. Schoenebaum)

Brokers are getting barred for annuity replacement misconduct --- a growing regulatory trend? rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2004.htm (see, Karen Lee McGlynn and Donal Paul Duffy )

BDs now being charged for failure to report suspicious transaction" to the IRS. rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NASD/2004.htm (see, Huntleigh Securities Corporation)

Robert Christopher Patrick: An account is turned over 73 times in one year (!), a broker earns over $100,000 in commissions --- but hes not even the broker of record. What's going on here?rrbdlaw.com/RegulatoryLinks/othersreg/2004.htm

Outside Business Activities and Private Securities Transactions continue to mount. Is Wall Street just not getting it, or are the rules too arcane? rrbdlaw.com/RegulatoryLinks/othersreg/2004.htm

Felony disclosures, misstatements and omissions on employment applications --- an amazing mélange of failed efforts to hide information. You never know who you're sitting next to at work or who's handling your life savings. rrbdlaw.com/RegulatoryLinks/uforms/2004.htm

In the Matter of Wunderlich Securities, Inc. , Philip Richard Zanone, Jr.,Patricia Diana Hester, Patrick James Forkin, III and Joel Christopher Rolla, the NASD goes through a virtual laundry list of research violations. An instructive case for the likely ongoing scrutiny of this hot-button area. rrbdlaw.com/RegulatoryLinks/research%20&%20ads/2004.htm

Self-Help isnt always the best recourse. Read about some brokers who tried to make payments to their clients to cover account losses or forestall lawsuits. rrbdlaw.com/RegulatoryLinks/undsettl/2004.htm

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