COR Securities agrees to buy clearing firm, makes offer for holding company of two indie B-Ds
Getting uncashed benefit checks to ex-employees a growing problem; death a bigger complication
Required disclosures mean advisers can easily benchmark performance; onus on advisers to prod stragglers to do better
Former South Florida lawyer Scott Rothstein was sentenced to 50 years in prison for using his law firm to run a $1.2 billion Ponzi scheme that financed a lavish lifestyle, bankrolled his firm and bought political influence.
Cuts for larger companies may be paid for by elimination of deductions for LLPs and LLCs
Raymond James Financial Inc. has become the latest financial services firm to help minimize the compliance barrier to wider use of social media
Schwab Advisor Services last week showed off the first of its completed integrations with Salesforce.com and announced a new partnership
I was thrilled to see another iteration of some of our recent technology survey data included in our INTech newsletter the other day.
A Finra arbitration panel has ruled against Société Générale SA and a handful of its affiliates, ordering the bank to pay $61 million to a California-based fund manager.
As Finra recently indicated in its summary of this year's examinations, <a href=http://www.investmentnews.com/article/20111221/FREE/111229981>, 2011 was a very busy year.</a>
The U.S. Securities and Exchange Commission appealed a federal judge's decision to reject its proposed $285 million settlement with Citigroup Inc.
Finra alleged that a broker bought reverse convertible notes for 21 mostly elderly customers
The Securities and Exchange Commission appears likely to pursue more cases administratively as a result of a federal judge's decision last week to reject a $285 million settlement with Citigroup Inc.
Citigroup Inc.'s $285 million settlement with the U.S. Securities and Exchange Commission over mortgage-backed securities was rejected by federal judge who said he hadn't been given enough facts to approve it.
The former chief executive officer of UBS AG's wealth-management unit in the U.K., said he was “confused” by the British finance regulator's attempt to fine him for failing to prevent unauthorized trading.
Critics claim more transparency needed to prevent future fiascos; no 'scalps on the wall'
Placement agencies can't keep up with demand; new clients 'sitting on piles of money'
