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Search Criteria: FAST heading = Investment advisors--Malpractice
Displaying 1 to 25 of 66
Title & Author Format Holdings Editions From To
Blood on the street : the sensational inside story of how Wall Street analysts duped a generation of investors by Gasparino, Charles
DDC/LCC
  694 5 2005 2014
Mutual funds : trading practices and abuses that harm investors : hearing before the Financial Management, the Budget, and International Security Subcommittee of the Committee on Governmental Affairs, United States Senate, One Hundred Eighth Congress, first session, November 3, 2003 by United States. Congress. Senate. Committee on Governmental Affairs. Subcommittee on Financial Management, the Budget, and International Security
LCC
  445 3 2004 2004
Oversight of the Securities and Exchange Commission's failure to identify the Bernard L. Madoff Ponzi scheme and how to improve SEC performance : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session ... September 10, 2009 by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
LCC
  435 1 2010 2010
How secure is your retirement : investments, planning, and fraud? : hearing before the Special Committee on Aging, United States Senate, One Hundred Third Congress, first session, Washington, DC, May 25, 1993 by United States. Congress. Senate. Special Committee on Aging
LCC
  399 6 1993 1993
Investment adviser industry reform : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, on H.R. 578 ... March 4, 1993 by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
LCC
  366 6 1993 1993
Investment adviser industry reform : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, second session, June 4 and 10, 1992 by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
LCC
  360 5 1992 1992
SEC oversight of investment advisers : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Second Congress, second session, on the unfair practice that exists with some financial planners and the need for Congress to support the SEC through additional funding and staffing for the regulation of the financial planning industry, February 20, 1992 by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
LCC
  352 3 1992 1992
Oversight of the Securities and Exchange Commission's failure to identify the Bernard L. Madoff Ponzi scheme and how to improve SEC performance : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on analyzing the SEC's oversight and examination of the activities of Bernard L. Madoff and Bernard L. Madoff Investment Securities, LLC and why it failed to identify the Ponzi scheme, and to assess recommendations for how to improve the regulatory performance of the SEC, September 10, 2009 by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
LCC
  300 3 2010 2010
Madoff talks : uncovering the untold story behind the most notorious Ponzi scheme in history by Campbell, Jim (Radio show host)
DDC/LCC
  239 6 2021 2021
Standards of practice handbook, 1999 by Association for Investment Management and Research
DDC/LCC
  164 17 1992 2014
Standards of practice handbook by CFA Institute
DDC/LCC
  113 14 2005 2014
Anlageberatungshaftung in Europa : Eine rechtsvergleichende Untersuchung des deutschen, englischen und italienischen Rechts by Burchardi, Sophie
DDC/LCC
  61 7 2020 2020
Die Haftung für fehlerhafte Anlageberatung by Arendts, Martin
DDC/LCC
  60 5 1998 2004
Aspects juridiques de la gestion de fortune = : Legal aspects of investment management : actes de la conférence internationale du 17 octobre 1997 à Genève by Centre d'études juridiques européennes
DDC/LCC
  43 11 1997 1999
Anlageberatung : das System der zivilrechtlichen Haftung von Kreditinstituten by Krimphove, Dieter
DDC/LCC
  42 4 1992 1992
Die Haftung des privaten Depotverwalters by Esters, Ulrich, 1962-
LCC
  38 4 1992 1992
Standards of practice handbook by Association for Investment Management and Research
DDC/LCC
  34 6 1982 2005
Schadensersatzhaftung des Wertpapierdienstleistungsunternehmens für fehlerhafte Aktienanalysen by Vogler, Heiko
DDC/LCC
  32 3 2005 2005
Die Haftung eines Wertpapierdienstleistungsunternehmens bei der Anlagevermittlung und der Anlageberatung by Buhk, Matthias, 1968-
DDC/LCC
  27 5 1999 1999
La responsabilité civile des courtiers en valeurs mobilières et des gestionnaires de fortune : aspects nouveaux by Baudouin, Jean-Louis, 1938-
DDC
  25 3 1999 1999
Servizi di investimento e responsabilità civile by Salvatore, Michelangela
DDC/LCC
  25 4 2004 2004
Haftungsrechtliche Fragen des Ratingwesens--ein Regelungsproblem? by Lemke, Rudolf, 1972-
LCC
  22 3 2000 2000
Securities litigation : planning and strategies : ALI-ABA course of study, materials
LCC
  14 7 1997 2008
Complaints handling arrangements : response on CP49 : a joint policy statement by Financial Services Authority (Great Britain)
DDC
  13 6 2000 2000
Xu jia chen shu zheng quan qin quan pei chang = : A discourse upon the tort damages for misrepresentation in the securities market by Guo, Feng, 1962-
LCC
  11 3 2003 2003
Displaying 1 to 25 of 66
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