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Go to.... Curriculum Vitae - References Background narrative Legal duties of stockbrokers Evaluating Investor Cases Churning Analysis Initial public offering scorecard Due diligence defined The independent due diligence process Common stock offering scorecard Sample common stock offering scorecard Closed-end proprietary mutual fund Scorecard Mutual fund Scorecard Limited partnership Scorecard Sample analysis-closed-end proprietary trust/mutual fund Sample analysis - corporate bond mutual fund Sample analysis - real estate limited partnership Sample analysis - Fannie Mae investment Suitability defined & explained Securities broker’s duties as fiduciary to a qualified trust Excerpts from NASAA guidelines Disclosure requirements for private placement offerings Sample questions for expert Limited partnership ScoreCard index Track record Arbitration Consulting Agreement Sample fee schedule
Legal Duties of Stockbrokers; Variable Annuities; Fixed Index Annuities, Case Eval.; Arbitration; Control Person Liab.; Atty's fees; Damagesges, Churning Analysis; " 6 year rule"; Auction-Rate Securities Failures; Margin , in , M Due Diligence Defined; Time and Price Discretion; Record Retention, Private Placements on the Internet; Analyst's Conflicts; Sub-Prime lossessses Suitability; Exception Reports; Supervision; Diversification; Junk Bonds;eti Securities Broker’s Duties as Fiduciary to a Qualified Trust; Glossary Understanding Hedge Funds; Employment Dispute Resources; Avoiding the Pitfalls of IRS Section 72(t); Understanding Securitized Trusts; ; Disclosure Requirements for Priv. Placement Offerings; Class "B" Mutual Funds; Madoff Scheme Revisited; Arbitration v Court; Expert Quests.; Fiduciary Standard;
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