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Sue Asci

Boston Bureau Reporter at Investment News. Connect with her on LinkedIn.

Displaying 346 results

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Mutual Funds

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What women want

Regardless of the results of the presidential election next week, voters will be looking to their president to…

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  • News
  • January 6, 2012

Brokers bilked investors out of $36M selling CMOs, SEC charges

The Securities and Exchange Commission today charged 10 brokers who worked for the former Brookstreet Securities Corp. of Irvine, Calif., with fraud.

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  • News
  • April 26, 2011

Report: UBS close to hiring Bob McCann to lead wealth unit

UBS AG is reportedly close to an agreement to hire Bob McCann to lead its wealth management business in the Americas, according to a report by the Financial Times.

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Q&A with Tad Edwards: Why the legacy will continue

Although he quietly launched his own brokerage firm in St. Louis a year ago, Benjamin F. “Tad” Edwards IV — the great-great-grandson of Albert Gallatin Edwards, who founded A.G. Edwards Inc. in the 19th century — is moving right along with his expansion plans, having opened his first two branch offices in the past two months.

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A.G. Edwards scion branches out, expands into New York

Benjamin “Tad” Edwards IV, the great-great-grandson of Albert Gallatin “A.G.” Edwards, took another step toward expanding his own brokerage business with the launch of a branch in White Plains, N.Y. — one that will house a number of former A.G. Edwards Inc. financial advisers and employees.

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What’s in a name? A.G. Edwards’ scion about to find out

Benjamin “Tad” Edwards IV – the great-great-grandson of Albert Gallatin “A.G.” Edwards – didn’t get a lot of…

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Pioneer announces revamped retail distribution unit

Pioneer Investments of Boston has announced a restructuring of its retail distribution unit, included new hires and promotions for existing managers.

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Securities America and CapWest sued over allegedly misleading private placements

Investors filed a class action yesterday against Securities America Inc. — a subsidiary of Ameriprise Financial Inc — and CapWest Securities Inc., alleging that the two firms falsely represented private placement investments and used incoming assets to pay dividends to investors in older investments.

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Ex-broker hits Citi with suit over its bid to claw back signing-bonus loan

Citigroup Inc. has been smacked with a suit from a former broker who is trying to stop the New York-based banking behemoth from clawing back the remainder of a signing bonus he owes for leaving the firm in 2006.