Complinet, a nationally recognized website dedicated to helping and educating the compliance and legal professions within the securities and brokerage industry. The Editor Paul Taylor published the following on the firm's web site on November 2, 2001.
"This book is a timely wake-up call to the brokerage industry to clean up its ways. Honest brokers have nothing to fear from this book."
- George D. Mullen, Vice President, UBS PaineWebber
"Tracy Stoneman and Douglas Schulz certainly know what Wall Street brokerage firms wish you didn't. Even if the largest, most reputable firms are managing your money - and especially if you're working with a firm no one ever heard of - you owe it to yourself and your family to take the authors' advice."
- Evan Cooper, Editor-in-Chief, On Wall Street.
Ms. Stoneman was quoted in the October 2000 issue of Registered Representative Magazine in the article "Skid-Proofing - Lawyers Describe Five Stumbling Blocks that Trip up Brokers and Make Defending Claims Difficult"
"One of the most common yet avoidable pitfalls a broker falls into is inconsistent or missing information on the opening account documents,' says Tracy Stoneman, a Colorado Springs, Colo., securities attorney. Stoneman challenges brokers to ensure these forms are complete and consistent. The information must be updated as clients' income and net worth grow, they become more sophisticated, and their investment objectives change."
Call or email Ms. Stoneman with your comments or questions. The strictest confidence will be observed.
"There's a lot of pride involved", says Stoneman. "Over the years I've represented a lot of overseas clients and sometimes it's very difficult for those clients to come forward to even admit they have lost a lot of money." Read the article.
Ms. Stoneman is quoted in Smart Money Magazine