121. Complaints? What To Do you because your information may alert us to a bad broker or firm, an unfair practicein the securities industry that needs to be changed, or the latest fraud. http://www.sec.gov/complaint.shtml

Home Fast Answers Site Map About the SEC ... Divisions SEC Center for Complaints and Enforcement Tips Through this page you can file a complaint or provide us with tips on potential securities law violations. We welcome hearing from you because your information may alert us to a bad broker or firm, an unfair practice in the securities industry that needs to be changed, or the latest fraud. How Do I Reach the SEC? There are several ways to file a complaint: Complaints - Use one of our online forms to file your complaint electronically. Tips - Report a potential violation of the securities laws directly to enforcement@sec.gov . Please do not use this email box for general comments or questions. Spams - Forward investment-related spam e-mails to enforcement@sec.gov Questions - Use our " Fast Answers " web page for general questions about the federal securities laws or your investments. If you do not want to communicate electronically, either print and fill out a form or write us a letter. Our address is: SEC Complaint Center, 450 Fifth Street, NW, Washington, D.C. 20549-0213. You can also send a fax to 202-942-9634. Whistleblower Protection: If you work for a publicly traded company and have been fired, demoted, suspended, threatened, harassed, or discriminated against for reporting a potential shareholder fraud to a supervisor, federal regulator, or member of Congress, then please contact

122. D. Michael Kratchman Welcome Southfield attorney, offering dispute resolution services, and representation for securities litigation, class actions, fraud, claims against stockbrokers, will contests, estate planning, real estate and corporate litigation. http://www.kratchmanlaw.com/

2000 Town Center Suite 2700 Southfield, MI 48075-1318 Phone: (248) 354-3200; Fax: (248) 354-3106 Email: mikkay@aol.com The law office of D. Michael Kratchman is a well-known and highly respected civil trial, appeal and litigation firm. D. Michael Kratchman has specialized in civil litigation since he entered private practice in 1965. He graduated with honors from the University of Michigan Law School in 1963 and was an editor of the Michigan Law Review. From 1963 through 1964 he was a Ford Foundation Scholar at the London School of Economics. From 1964 through 1965 he was a law clerk to the late Honorable Wade H. McCree, Jr., former Solicitor General of the United States. D. Michael Kratchman's current law practice consists of securities litigation, consumer and shareholder class actions, fraud actions, claims against stockbrokers, will contests, estate planning and real estate and corporate litigation. D. Michael Kratchman is an arbitrator for the NASD and New York Stock Exchange. He serves as an arbitrator and facilitator in an active ADR practice. He is registered as an Investment Advisor by the State of Michigan (IA No. 4090).

123. SEC Brings Enforcement Actions Against Three Individuals, Goldman Sachs, And Mas Determined that the form willfully violated the provisions of the Exchange Act that prohibit fraud by brokerdealers and government securities dealers. http://www.sec.gov/news/press/2003-107.htm

Home Previous Page SEC Brings Enforcement Actions against Three Individuals, Goldman Sachs, and Massachusetts Financial Services Company Related to Trading Based on Non-Public Information about the Treasury's Decision to Cease Issuance of the 30-Year Bond FOR IMMEDIATE RELEASE Washington, D.C., Sept. 4, 2003 In a civil suit filed in federal court in New York, the Commission filed securities fraud charges against: Peter Davis, a Washington, D.C.-based consultant and sole proprietor of Davis Capital Investment Ideas. The Commission's complaint alleges that Davis attended the Treasury Department's quarterly refunding press conference on the morning of Oct. 31, 2001, where he learned of the Treasury's decision to cease issuance of the 30-year bond, known colloquially as "the long bond." Davis called numerous clients and tipped them to news about the cancellation of the long bond before the Treasury Department's news embargo was lifted and the news was made generally available to the public. Steven E. Nothern, a resident of Scituate, Mass., and formerly a Senior Vice President and manager of seven fixed income mutual funds for MFS. The Commission's complaint alleges that, after Nothern heard the news of the Treasury's decision to cease issuance of the long bond in a voice mail from Davis on the morning of Oct. 31, 2001, and before the news became public, Nothern and other MFS portfolio managers bought $65 million worth of 30-year bonds for funds that they managed, generating approximately $3.1 million in illegal profits.

124. Department Of Commerce & Insurance » Administration » Welcome Includes the securities Division which licenses brokers, dealers and investigates fraud; and the Insurance Division, which regulates over 1,600 insurance companies and 60,000 agents. http://www.state.tn.us/commerce/

Skip to Content. The following are the section navigation links. News Archives SiteMap Online Services Contact This script detects your browser type. Administration (Home) This site uses Adobe Acrobat Reader Versions 6.0 or higher. Click here for your FREE download. You will be leaving the State of Tennessee's website. here to read more... June 12, 2004 - offers Methamphetamine seminar. Press Release [pdf] Commissioner Flowers Issues Bulletin Rate Increase Notification [pdf] AIG Workers Comp Rate Action [pdf] Position available: Fire Academy Executive Director [pdf] Flowers Files Suit on Behalf of Reciprocal insureds [pdf] Biography Current Issues Site Map Annual Reports ... Contact

125. NASAA From the North American securities Administrators Association, this guide includes the top 10 investment scams, and how older Americans can avoid investment fraud and abuse. http://www.nasaa.org/nasaa/scripts/prel_display_list.asp?ptid=63

126. Quatloos! http://www.quatloos.com/securities-fraud-forum.htm

127. Register At NYTimes.com The securities and Exchange Commission filed fraud charges against WorldCom yesterday and President Bush vowed to 'hold people accountable' for the bookkeeping scandal at the company, the nation's secondlargest long-distance provider and a major carrier of Internet traffic. By Simon Romero. New York Times Free subscription required. http://www.nytimes.com/2002/06/27/business/27TELE.html

Welcome to The New York Times on the Web! For full access to our site, please complete this simple registration form. As a member, you'll enjoy: In-depth coverage and analysis of news events from The New York Times FREE Up-to-the-minute breaking news and developing stories FREE Exclusive Web-only features, classifieds, tools, multimedia and much, much more FREE Please enter your Member ID: Please enter your password: Remember my Member ID and password on this computer. Forgot your password? Choose a Member ID: Choose a password: (Five character minimum) Re-enter your password for verification: E-Mail Address: Remember my Member ID and password on this computer We'll keep your information private. The following fields are required. NYTimes.com respects your privacy , so we will never share any personal information without your consent. Gender: Year of Birth: Male Female (Click here if you are under 13) Zip Code: Country of Residence: United States Afghanistan Albania Algeria American Samoa Andorra Angola Anguilla Antarctica Antigua and Barbuda Argentina Armenia Aruba Australia Austria Azerbaijan Bahamas Bahrain Bangladesh Barbados Belarus Belgium Belize Benin Bermuda Bhutan Bolivia Bosnia and Herzegowina Botswana Bouvet Island Brazil British Indian Ocean Territory Brunei Darussalam Bulgaria Burkina Faso

128. CNN - Pennsylvania Securities Commission Unveils Internet Fraud Unit - August 19 CNN http://www.cnn.com/TECH/computing/9908/19/fraudpolice.idg/index.html

[an error occurred while processing this directive] MAIN PAGE WORLD ASIANOW U.S. ... news quiz CNN WEB SITES: TIME INC. SITES: Go To ... Time.com People Money Fortune EW MORE SERVICES: video on demand video archive audio on demand news email services ... pagenet DISCUSSION: message boards chat feedback SITE GUIDES: help contents search FASTER ACCESS: europe japan WEB SERVICES: Pennsylvania Securities Commission unveils Internet fraud unit August 19, 1999 Web posted at: 12:19 p.m. EDT (1619 GMT) by Dan Caterinicchia From... INTERACTIVE Have you ever been ripped-off online? Yes No View Results (IDG) The Pennsylvania Securities Commission Tuesday unveiled an Internet fraud unit to protect the state's investors from the growing problem of online securities scams. The Internet Fraud unit is made up of seven staff members, including attorneys, investigators and examiners. The group has been scouring the Internet looking for securities irregularities for about two years. Commissioners decided to make the group a formal part of the commission with the arrival of mainstream online investing. MORE COMPUTING INTELLIGENCE IDG.net home page

129. Arbitration, Securities And Investment Fraud Lawyer Practice limited to the litigation of securities related matters, arbitrations, claims against stockbrokers, fraud, churning, suitability. http://www.securitiesarbitrations.com

Have you been the victim of securities fraud? Recover losses from your broker due to churning or excessive activity, the sale of unsuitable investments, false statements and omissionsn connection with the sale of securities, breach of fiduciary duty, or negligence. Many cases accepted on a contingent fee basis. Contact us for a free initial consultation. Offices: 1500 Walnut Street Suite 1100 Philadelphia, Pennsylvania 19102 Telephone: (215) 413-8223 Telecopier: (215) 413-8225 TOLL FREE: 1(877) SEC-ATTY contact@stockbrokerfraud.com If you wish to fill out a form, please click the contact us button up top. Thanks. Home About Your Broker Securities Mediation Claims Against Brokers ... Related links Google StockBrokerFraud.com

130. Securities Arbitration, Stock Broker Fraud Security And NASD Arbitration Representing investors in securities law cases including securities arbitration and litigation involving stockbroker abuse, fraud, churning, online trading, margin abuse and all investment related claims. http://investordefender.com

Nationally Recognized Investor Rights Counsel The Banks Law Office represents individual investors and investor groups in claims against stock brokers, investment advisors and other securities professionals. Our claims are resolved through NASD arbitration, NYSE arbitration, as well as in state and federal courts. Our victories have been reported in The Wall Street Journal, The New York Times, Business Week, The CBS Evening News, Smartmoney.com, Securities Arbitration Commentator, Securities Week, The Business Journal, The Oregonian, and various securities law trade journals. Explore our site and learn more about investment law and cases involving misrepresentation, fraud, unsuitability, churning, stockbroker negligence, and related claims. Banks Law Office, P.C. Suite 1600 200 SW Market Street Portland, Oregon 97201 Fax 503/248-0138 Phone 503/222-7475 What the $1.4 Billion Wall Street Analyst Settlement Means for Defrauded Investors Read More... Flaw in the 2002 Uniform Securities Act Read More... Technology Stock Losses Read More...

131. Arizona Securities Lawyer: Scottsdale Arizona Attorney securities lawyer concentrating on stockbroker/customer disputes, investment fraud and securities arbitration. http://www.arizonasecuritieslawyer.com/

Home Practice Areas Attorney Profile FAQs ... Contact Us Welcome Michael K. Hair, P.C. located in Scottsdale, Arizona provides services in Securities law. His experience includes, but is not limited to: Securities Act Registration Statements Securities Exchange Act Registration and Reporting Private Placements SEC Investigations/No Action Letters NASD Arbitrations Blue Sky Compliance Exchange Registration General Corporate Licensed to Practice Law in Arizona and Colorado. Email: mkhairpc@yahoo.com Home Practice Areas Attorney Profile ... Contact Us

132. Washington State Department Of Financial Institutions Website INFORMATION ABOUT. Metropolitan Mortgage Security Co.Inc. Summit securities,Inc. Spokane mortgage and Appraisal fraud case concludes. Read more here. http://www.dfi.wa.gov/

Phone: Hotline: Fax: Map and Directions to DFI Offices N HOT LINKS Online Investing Simulator- Try it! Search Securities Orders Check Out An Investment Adviser ... Old Stock Certificates DFI Seeks Elementary Educators to Teach Personal Finance DFI plans to introduce the award-winning Money Savvy Kids Basic Personal Finance Curriculum to 50 public school second grade classrooms across the state. Read more here. 2003 Financial Literacy Survey The Department of Financial Institutions (DFI) recently sponsored a financial literacy survey to gather information on the knowledge, behaviors, attitudes and experiences of Washington citizens who have entered into financial transactions in this state. View the entire report on the DFI Web Hearing Notice - Money Transmitters Written or oral comments are welcome Date: Tuesday, June 22

133. Anthony V. Trogan West Bloomfield attorney offering legal services in stock fraud and securities arbitration cases http://www.anthonytrogan.com/

134. Meyers & Heim LLP: Securities And Corporate Attorneys Former SEC Enforcement attorneys offering offering service and online information for stock fraud and securities arbitration case. http://www.MeyersandHeim.com

645 Madison Avenue 20th Floor New York, NY 10022 Phone: (212) 355-7188 Fax: (212) 355-7190 Mr. Meyers and Mr. Heim have appeared as guest commentators on CNBC, CBS, MSNBC, CNNfn, FOX NEWS, and the BBC and have also been quoted in FORTUNE Magazine, The New York Times, New York Newsday, U.S. News and World Report, New York Magazine and the New York Post. Printer-friendly version

135. Investor Recovery Center -- Stockbroker Misconduct. How How an investor who has a problem with a stock broker can file an NASD arbitration complaint to recover losses from stockbroker fraud, misrepresentations, bad advice, unsuitable investment, churning, unauthorized trades, and misconduct, with or without an attorney. By a securities lawyer formerly with the SEC. http://www.investorrecovery.com/

stockbroker misconduct, stockbroker problem, broker dispute complaint claim arbitration lawsuit, unsuitable investment recommendation, fraud, misrepresentation, unauthorized trade, bad advice, chu=10ng, margin, risky stock, illiquid, lawyer, law office, options, futures, securities, attorney, registered investment advisor, financial planner, investor recovery Investor Recovery Center Nationwide Toll Free: Sponsored by the Law Office of Vincent DiCarlo Corresponding Offices Nationwide Facsimile: (916) 444-4462 Email: vdicarlo@dicarlolaw.com How to Get Your Money When Your Broker Done You Wrong stockbroker misconduct, investor recovery, recover damages, broker dispute complaint claim arbitration lawsuit, unsuitable investment recommendation, fraud, misrepresentation,unauthorized trade, margin, risky stock, illiquid, lawyer, law office, options, futures, securities, lawyer, attorney, registered investment advisor, financial planner, California money back, refund commissions brokerage broker dealer contingent fee represent bad advice This site contains information about how you can recover when your stockbroker, investment advisor, or financial planner has been guilty of fraud, misrepresentation, unsuitable recommendations, unauthorized trades, excessive trading (churning), failure to follow instructions, or other misconduct. We work with investors all over the country, and would be happy to provide you with a

136. Stockbroker Pleads Guilty To Security Fraud CNN http://cnn.com/2002/LAW/02/13/securities.fraud.ap/index.html

137. Gruttadauria, Lehman Brothers, And Forged Account Statement Frauds - How Investo A securities lawyer explains how broker Frank Gruttadauria of Lehman Brothers and SG Cowen could have gotten away with his alleged fraud and how investors can recover losses from stockbroker misconduct using NASD stockbroker arbitration. http://www.investorrecovery.com/gruttadauria.htm

Gruttadauria, Frank, Dominic, Lehman Brothers, SG Cowen, fraud, stock, broker, stockbroker, lawyer, attorney, complaint, Gruttadoria, Grutadauria, Grutadoria Investor Recovery Center Sacramento law office: litigation, business law, and arbitration Nationwide Toll Free: Sponsored by the Law Office of Vincent DiCarlo Corresponding Offices Nationwide Facsimile: (916) 444-4462 Email: vdicarlo@dicarlolaw.com Frank Dominic Gruttadauria, Lehman Brothers, and Forged Account Statement Frauds When Frank Dominic Gruttadauria disappeared amid charges that, over a period of many years, he had lost or stolen millions millions of dollars belonging to his customers, many wondered how he could have gotten away with it so long. How indeed? Gruttadauria is alleged to have engaged in the fraud while he was supposed to be supervised first by SG Cowen Securities and then by Lehman Brothers, Inc., which purchased SG Cowen's retail business in October 2000. Lehman Brothers is a large and well known brokerage firm and has long been a familiar name on Wall Street. In fact, the method used by Gruttadauria to deceive his customers is fairly straightforward, and is not unheard of in the brokerage business. The broker simply notifies the firm that the customer wants his monthly statements and other correspondence to be sent to a new address, which is often a post office box owned by the broker. Then the broker creates forged reports to send to the the clients.

138. Securities Fraud Attorneys - SHEPHERD, SMITH & EDWARDS, LLP securities attorneys handle stock fraud and securities arbitration cases. Offering free consultations. http://www.securities-fraud-attorneys.com/

or call NEW! Information on the WorldCom Settlement Importan t! The deadline for any WorldCom investor to keep control over his or her own claim is only weeks away! Click here for more on the WorldCom Settlement "Our firm has represented thousands of investors nationwide and recovered millions of dollars from stockbrokers and their firms. Our attorneys have handled more claims against brokerage firms than those at any other law firm in the U.S." - William S. Shepherd, Founder of the Firm We are a firm of attorneys - former securities regulators and/or licensed officers and representatives of securities firms - devoted to assisting investors nationwide to recover losses caused by inappropriate actions of stock brokers and their firms. We offer a free consultation to those who contact us through our Website.

139. Houston Federal White Collar Crime Lawyer: Texas Attorney Specializes in federal white collar crimes including business fraud, embezzlement, theft, racketeering, conspiracy, class action, contract, and securities cases. http://www.federalwhitecollarcrime.com

rjwaska@worldnet.att.net Texas White Collar Crime Law Firm Law Firm Policy Statement Ronald J. Waska has a general trial practice since 1970 with an emphasis on white collar crime and business litigation. He represents individuals charged in both state and federal courts across the United States. Mr. Waska has provided representation to many businesses and corporations including publicly traded corporations. However, since his experience as a federal prosecutor, resigning as Chief of the Criminal District for the Southern District of Texas for private practice, his passion is defending individuals charged with a crime or denied what is fair and right. Mr. Waska is dedicated to helping the individual when the power of government attacks the individual. He then becomes the only wall between a prosecution gone awry and an individual with family and future at risk. Individual representation demands total involvement with the client, family, and friends. It requires a commitment to put the client before the attorney. But most of all it requires complete honesty and integrity with the client to afford the client with an awareness of all options at all stages of the case, and the impact on the client's life. When the federal government decides "to make a federal case out of it", it is a life changing decision. A client will never be the same. A civil case is merely a lawsuit involving money, but a criminal case puts liberty at stake. There is no parole in the federal criminal system, and virtually no probation except for very minor offenses. A person charged with a federal offense will usually serve time in a federal penitentiary. That is the reason the individual needs a highly experienced, seasoned federal attorney.

140. Blum, Silver & Schwartz LLP Law firm specializing in securities arbitration, stock law, and fraud. Located in Plantation. http://www.stock-attorneys-darren-blum.com

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