Publications

Section Newsletter Articles From Thomas A. Hargett

Major brokerage firms propose hollow solutions for research analyst conflict of interests By Andrew J. Stoltmann and Thomas A. Hargett Business and Securities Law, December 2001 In the last three months, brokerage firm research departments have come under intense scrutiny for alleged undisclosed conflict of interests.
NASD outlines new online suitability obligations for brokerage firms By Andrew J. Stoltmann and Thomas A. Hargett Business and Securities Law, June 2001 On March 19, 2001, the National Association of Securities Dealers ("NASD") released Notice to Members 01-23 ("NTM 01-23").

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