IFS Securities says it fired the senior executive responsible for the money-losing transactions.
Roger Owens agrees to $10,000 fine and to return almost $60,000 in commissions.
Harry Markopolos estimates GE needs to boost reserves by $18.5 billion for long-term care insurance portfolio
Large funds from Ashmore and Fidelity also suffered.
Highlander Financial Group, based in Rockville, Md., is led by a former pro baseball player.
The inverted Treasury yield curve signals a recession is coming — but the timing is unclear.
Regulator delayed verdict on two applications until October.
With so much financial data and information circling clients, teaching them what questions to ask is key to literacy.
Acquisition focuses on George K. Baum & Company's muni business.
Mistake occurred in the FTSE index the ETF tracks; Vanguard says it is considering additional controls.
