Brian Smiley spoke before the prestigious Annual Securities Litigation & Regulatory Practice seminar conducted by the ICLE. His topic was, “Arbitration Against Stockbrokers: The Machinist and the Millionaire.” His paper involved claims against investment professionals for failing to adequately diversify client portfolios.
Brian Smiley Speaks on Arbitration and Variable Annuities at NASAA and NAIC Seminar
Brian Smiley spoke before a joint training seminar conducted by state securities (NASAA) and insurance regulators (NAIC). Mr. Smiley’s topics included “Insurance and Securities Anticipated Scams” and “What Every Regulator Needs to Know About NASD Arbitration.”
CWA Retiree’s Investment Nightmare A Cautionary Tale for Members Taking Lump Sum Pensions
Brian Smiley mentioned in Communications Workers of America Like many CWA members, Gwen Sims had a lump sum pension option, and she chose the cash payout instead of a monthly pension benefit when she retired from Bell South in 2000 at age 50.
Brian Smiley Authors Article in FINRA’s Official Arbitrator Publication
Brian Smiley co-authored an article for FINRA’s official publication for its arbitrators. The article, “Keeping the Arbitration Moving: Enforcing Discovery Deadlines and Legitimate Information Requests” emphasized the importance of arbitrators requiring parties to comply with discovery obligations and schedules. Brian’s co-author was Theodore A. Krebsbach, a well-known defense lawyer.
$700K Closes the Door on A.G. Edwards Fraud Case
Brokerage firm settles with state over sales practices at Proctor & Gamble plant in Augusta Brokerage firm A.G. Edwards & Sons will pay a $500,000 fine and reimburse the state $200,000 for its investigation into stock fraud, bringing to a close a case that resulted in the largest securities settlement ever in Georgia.
Client Wins First Round Against Brokerage
Atlanta Business Chronicle reports on a punitive damage award for a factory worker. The arbitration panel that heard the first of about 75 cases against the Augusta office of the brokerage firm A.G. Edwards & Sons Inc. has awarded the former client in the case nearly $1 million.
Panel Finds Brokerage Defrauded GA. Retiree
Large award for defrauded Proctor & Gamble worker. Fulton County Daily Report
Heard Off The Street: Burned Investors Find Bear Can Bring Out Worst in Broker
Brian Smiley: “99 times out of 100, if a broker is liable, the firm is.” In the spring of 2000, just as the 2 1/2-year stock market slide was getting under way, Rickey Miller of Homer City was a little uneasy about his portfolio as he headed off on a cruise to Tahiti. So he […]
Tips On Avoiding Getting Sucked Into Bad Investment (CNNfn Transcript)
Brian Smiley interviewed on CNNfn by Ali Velshi. Ali Velshi, CNNfn anchor, Business Unusual: The good old days, your stockbroker’s number was kept on speed dial and every stock you bought went through the roof. But now, trusting your investment is like trusting the weather and even when the forecast calls for sunshine, you still bring […]
Old NFL Man Trusts His Money to Another But Soon Regrets It
The Wall Street Journal reports on large award for former NFL star represented by Mike Bishop and Brian Smiley ATLANTA — As a defensive end in the National Football League, Larry Roberts worried about blowing his newfound fortune. His pay had soared to $1.6 million, but he knew he had just a few years to […]
