STOCKBROKER PROBLEMS
Financial Exploitation of the Elderly
Variable Annuities - Suitability Requirements
Failure to Follow Instructions
Collateralized Debt Obligations (CDO's) and Asset Backed Securities (ABS)
Know Your Customer
Margin
Selling Away
Unauthorized Activity
Overconcentration
Ponzi Schemes
Unsuitability
Diversification or "Who put Humpty Dumpty on the Wall Anyway?"
CURRENT INVESTIGATIONS
DBSI Promissory Notes
Reverse Convertibles
CDOs and ABS
Charles Schwab Yield Plus Funds
Fidelity Ultra Short Funds
REITS
UBS and Lehman Brothers "Principal Protected" Investments
Ponzi Schemes
Warrants
Auction Rate Securities
Arbitration of Variable Rate Annuities
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