Brian Smiley quoted in New York Times on broker disclosure rule. The board of the National Association of Securities Dealers is expected to announce today that it has approved a plan to make more information publicly available about disciplinary action against brokerage firms and their registered representatives.

Brian Smiley comments in New York Times article about cold calls from brokers. The first call is a warm-up. “Hello, is this Mr. Joe Smith? Joe, this is Sally Script with Wannamakabuck Investment Bankers in New York. Joe . . . (pause) before I go any further, I want you to relax. I’m not calling to sell […]

Brian Smiley quoted in Atlanta Journal Constitution on broker’s duties. Investors who sank their savings into a Florida company named Venus Cruise Line in 1985 and 1986 are still waiting for their ship to come in. Or go out.