Cover of Book, Brokerage Fraud

Order Now Button for Book, Brokerage Fraud


The authors have taken the rules and regulations of the brokerage industry and put them in laymen’s terms. -- Professor William C. Tyson, The Wharton School & The Law School of the University of Pennsylvania

The Book, Brokerage Fraud is a must read for all compliance professionals and brokerage firm's compliance and legal departments.

This book is a timely wake up call to the brokerage industry to clean up its ways. -- George D. Mullen, Vice President UBS PaineWebber

Tracy Stoneman and Douglas Schulz certainly know what Wall Street brokerage firms wish you didn't. -- Evan Cooper, Editor-in-Chief, On Wall Street, Co-Author

This book can save you thousands of dollars and loads of headaches! -- Jordan E. Goodman, author of Everyone's Money Book

Had "Brokerage Fraud" been available to my wife and I eight years ago, it may very well have saved us the fortune we lost to a mercenary industry that promotes itself as caring and responsible, when in fact it cares mostly for itself.

"Brokerage Fraud" is frank and friendly, organized, comprehensive, easy to digest -- and quite unique, too, because the distinguished authors tell all about an autonomous, all-powerful institution that routinely sheers the uninitiated."

". . . I am an attorney and an investor. Yet, I must say that each chapter of 'Brokerage Fraud' brought new information and insight that is invaluable . ."

Use the link below to get details, qualifications, certifications, licenses, as well as regulatory actions and violations or complaints on Brokers & Brokerage Firms.

link to FINRA for Broker Check

North American Ssecurities Administrators Association

icon to link NASAAContact State Regulators

- Search by state

(click icon to access site)

Investment Adviser - 

Search for an Investment Adviser Firm and Individual Investment Representative currently registered with the SEC and State Securities Regulators

icon linking to Public disclousure - SEC

(click icon to access site)


Investment Adviser Data -

  • SEC Investment Advisers Report
  • State Investment Advisers Report
  • Investment Adviser Representative 


Latest Report - Download available

Investment adviser's report

(click icon to access site)




Icon for the SEC websiteTo protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

 (click icon to access site)


Keynote speakers like Mr. Schulz empowers audiences!  


There is nothing more exciting to a gathered audience then a speaker who can command the group. Someone who can offer, inspiration and is confident in his topic! That speaker is Douglas Schulz!


His strategies are practical, well researched and easily understood. You’ll simply not find a better speaker out there.


Enlightening, smart, funny, poignant, and radically informative! 
Schulz presents tools and ideas that will move his audience forward in their understanding . . .




  • How often have you attended a seminar that left you empty, feeling abused and unenlightened?  Ever had to endure a boring meeting that was energy-draining? How valuable is your time? 
  • How important is it to provide a speaker who can deliver an emotional, edge of your seat presentation? Securities expert, Mr. Schulz’s presentations are engaging while fluently and professionally presented. Mr. Schulz grabs the audience from his opening statement of introduction until his closing remarks, compelling his audience to sit up and listen.

How important is it to you to provide a speaker who can deliver an emotional, edge of your seat presentation?

Securities expert, Mr. Schulz’s presentations are engaging while fluently and professionally presented. Mr. Schulz grabs the audience from his opening statement of introduction until his closing remarks, compelling his audience to sit up and listen.

Mr. Schulz is a well organized, insightful, and a charismatic speaker who delivers his heart and soul for the Securites industry to his auidence.  Audiences like to know, what does this have to do with me, how will it effect me, and is this relevant to me!   Audiences are never disappointed as Mr. Schulz has the unique ability to break down complex subjects and issues into simplified solutions, conveying the results through honest and straightfoward conversation.


  • FINRA Arbitrations
  • Securities Arbitrations
  • Broker Standard of Care
  • Broker/Brokerage Firm Malpractice or Malfeasance
  • Stockbroker Violations
  • Damage Calculations & Loss Analysis
  • Damages & Punitive Damage Analysis
  • Inconsistencies in Trading Activities
  • Breach of Securities Regulations
  • Breach of Broker Industry Norms & Standards
  • Improper Sales of Limited Partnerships and Private Placements
  • Breach of Fiduciary Duty
  • Compliance Obligations for Registered Investment Advisors, RIAs
  • FINRA & SEC Regulations
  • Breach of Fiduciary Duty
  • Securities Fraud Investigations
  • Mutual Fund & Hedge Fund Mismanagement
  • Self-Dealing & Front-Running
  • Suitability Securities Fraud
  • Unauthorized Trading
  • Churning Options, Stocks & Bonds
  • Compliance Violations
  • Supervisor of Registered Representatives
  • Supervisory Violations and Lapses Due Diligence
  •  Concentration - Lack of Diversification
  • Order Failure Illegal Discretionary Trading
  • Investment Fraud
  • Stock Options


You may reach Mr. Schulz to discuss available dates and times for a speaking engagement or to address your staff, group, office, investment group, class, etc.

Phone: (719) 783-3230   

Being one of the most sought-after securities expert witnesses, Mr. Schulz has been quoted in, has appeared on, or has been heard on many of the country's foremost publications and/or radio/TV stations.*

*(#) indicates number of times quoted or on-air by organization


Wall Street Journal (6), American Lawyer, Money Magazine (2), Newsweek, Forbes, New York Times (5), BusinessWeek (3), Kiplinger’s Personal Finance (2), Dow Jones, The Street Chicago Tribune, USA Today (2), Registered Representative, Complinet, The Boston Globe, Investment Advisor, Financial Times (London), Institutional Investor (2), Boardroom Inc., Medical Economics Journal (2), Sun-Sentinel, Times Record News, Dallas Business Journal, Dallas Morning News, Tampa Tribune, St. Petersburg Times, Colorado Springs Business Journal, The Denver Post (3), The Charlotte Business Journal, Philadelphia Inquirer, Upside, World Money Laundering Report (2), Richmond Business Journal, Rocky Mountain News, Bloomberg News, The Oregonian, Florida Today, AAII Journal, The Charlotte Observer, Lawyers Weekly USA, On Wall Street, St. Louis Business Show


CNNFN “The Money Gang”; WNYW-TV FOX “Good Day New York; KTVK-TV “Good Morning Arizona”; KFNN-AM Phoenix; WEBFNTV “Ask the Experts”; KNX-AM (CBS) Los Angeles; Yahoo Finance Webcast; New York 1 Cable “Fortune Business Report” KUOW-FM Seattle, WSAR-AM Providence; WEIM-AM & WBIX-AM Boston; NBC Bay Area News, San Francisco; WABJ-AM Toledo; KBEM-FM Minneapolis; WPTT-AM Pittsburgh; WXRC & WIRC Charlotte; WFTL & WORL Miami; KWIP & WEVL Poughkeepsie; KCMN-FM Colorado Springs, Powernomics Syndicated Radio; WMTR-AM “Your New Jersey Connection” KFAB-AM Omaha; KKTV Colorado Springs; KRDO Colorado Springs; CBS-WBBM Chicago “Noon Business Hour” (3)