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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.

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Mr. Schulz regularly represents stockbrokers and investment advisors in their disputes with broker-dealers or registered advisory firm.  As an individual who is intimately knowledgeable and personally familiar with the relationship between the brokerage firms and their brokers/advisors, RIA’s and money management firms; Mr. Schulz is more than qualified to act as an expert in this field.  The areas where Mr. Schulz can most likely be of help to a broker would be in the area of licensing, defamation, contractual disputes and wrongful termination, and U-4 and U-5 supposed violations.    As to Investment Advisor Representatives, Mr. Schulz can be most helpful in the area of: duties, obligations, licensing requirements, employment disputes, outside business practices, selling away, Investment Advisor Act of 1940, compliance, supervision and regulatory inquiries.       

If you are a stockbroker, registered investment advisor, or some other securities professional and you as of yet have not hired a lawyer to represent you. You might consider contacting my wife, Tracy pride Stoneman, Ms. Stoneman is a nationally known securities attorney.

* The sad reality is that though Mr. Schulz has worked for a number of the largest firms, such as Prudential Securities Inc., Dean Witter (now Morgan Stanley Dean Witter), and A.G. Edwards as a securities expert witness, view of the major broker-dealers hired Mr. Schulz these days because such as large percentage of his work is for brokers, advisors and clients in their disputes against the major firms.