A New York brokerage and three of its executives have agreed to pay more than $6 million to regulators and exchanges to settle allegations they allowed some foreign traders to manipulate U.S. securities repeatedly through accounts the firm controlled.
One of the staunchest opponents of legislation that would shift regulation of investment advisers from the Securities and Exchange Commission to an industry group is declaring victory — for this year.
Expert says it might be best way to shatter ossified political positions
Finra claims brokerage failed to properly supervise ex-rep
The lastest adviser applications for Apple's ubiquitous tablet show plenty of polish
Survey finds that the discussion never comes up; yawning opportunity?
It is deplorable that the serious economic issues that the country faces won't be addressed between now and the Nov. 6 election.
Carriers targeting fee-based advisers with new I-share offerings; next frontier
SRO's boss shoots down regulator's test balloon in speech
This white paper from Financial Advisor Placement Services explores the independent broker-dealer market and why it is a sound choice for advisers considering a move.
Movement marks one-year anniversary today with a 'roving carnival of resistance'
Networking: Pershing plumps up trust lineup
Banks are hurriedly bracing for widespread demonstrations, disruptions and disturbances on May 1, as the Occupy Wall Street movement kicks off a new season of rabble-rousing. Says one security expert: It's like elks versus wolves.
