Commentary, news and links of interest to financial advisers.

Analysis Brokers

Too Much Information

 The NASD May Soon Protect Investors at Broker’s Expense By Mark J. Astarita, Esq. This time the National Association of Securities Dealers (NASD) has gone too far. On November 27, 1996, the association proposed to make full disclosure of the entire contents of the disciplinary and litigation section of a […]

Analysis Brokers News

Doing Business Abroad

Making sure your overseas business complies with foreign as well as US laws By Mark J. Astarita, Esq. We all know that the Internet has made the world smaller, and opened numerous opportunities for various businesses to conduct business with persons and entities residing in foreign countries. With those opportunities […]

Brokers News

First Union Securities Renamed Wachovia Securities

Name Change Effective May 2002 By Rick Weinberg First Union Securities will announce Wednesday that it has been renamed Wachovia Securities, Registered Rep. magazine has learned. The name change is effective May 2002. First Union is the retail brokerage arm of Wachovia Corporation, along with IJL Wachovia. The firm, the […]