Warren slams attempts to weaken authority of new bureau; Wall Street 'behemoths' the real problem
The mortgage expense tax deduction and other 'sacred cows' would be gutted under an influential lawmaker's tax proposal
Brokers, planners, investment managers — everybody's crazy about Apple's ubiquitous portable reader
Will head up BofA unit's institutional consulting group; wirehouse veteran
Based on recent buying patterns, the shares of these four companies may be set to take off.
Budget battle is sound and fury signifying very little
While the 2010 Tax Act for now locks in the current marginal tax rates for all income levels, advisers thinking about the future need tools at their disposal now to help sort out a client's future options, especially when it comes to the estate tax.
Broad outlines of the debate over comprehensive tax reform are starting to emerge on Capitol Hill
Securities America Inc. could go out of business if a federal judge does not approve a $21 million class action settlement related to private-placement litigation against the company
Commission said to be addressing substantial risks in the market that have gone unchecked; 'there's going to be a lot of trouble ahead'
Southwest Securities Inc., which was fined this month over payments to municipal bond advisers, will pay $650,000 to resolve claims of improper short sales that caused a $6.3 million loss for the firm, according to Finra
In the next crisis, the roles of Fannie Mae and Freddy Mac will be played by financial services giants
Finra is prepared to spank the broker-dealer arm of one of the largest sponsors of non-traded real estate investment trusts for allegedly failing to meet standards for advertising and keeping client information safe
The good news for Ahmass Fakahany, a former top executive of Merrill Lynch & Co. Inc. is that March 24, a Finra panel awarded him $1.2 million in an arbitration claim against his former firm
Ralph Lambiase, longtime director of securities for the state of Connecticut, will be retiring on Feb. 28. Mr. Lambiase, who has been a regulator with the state for 33 years, announced his departure earlier this month to his staff.
Veteran insurance agent Paul A. Mattus has filed suit against The Allstate Corp., claiming that the carrier had muscled him out of his book of business in order to pass it on to a newer, younger agent.
Two New York congressmen today urged the Securities and Exchange Commission to protect the Securities Investor Protection Corp. fund from insolvency due to excessive trustee fees.
UBS Financial Services Inc. has agreed to pay $10.75 million in fines and restitution to settle Finra allegations that its advisers misled clients about the “principal protection” feature of a Lehman Brothers Holdings Inc. bond product sold a few months before that firm filed for bankruptcy.
