Allegations of document destruction is latest in long list of complaints about Commission
Number of high net worth individuals swells, as markets recover; good two years for Houston
When David Marotta started his advisory practice in 2000, he was tempted to get involved with the design of its website and the deployment of software and computer resources for the office.
Financial advisers, whether solo practitioners or members of a multiperson firm, need to think regularly about whether their technology is keeping pace with their business needs.
Judge approves settlement; brokers with arbitration claims now can put matter behind them
Commission tells JPMorgan securities unit not to do what it told it not to do two times before; third time's the charm?
Independents are doing most of the deals; difficulty expanding business organically
Renewed proposals to eliminate the tax-exempt status of municipal bonds as a way to reduce the $1.5 trillion federal deficit are unlikely to succeed, according to a report by The Bank of New York Mellon Corp.
Michael Oxley, the former congressman who co-wrote the Sarbanes-Oxley Act of 2002, has registered as a lobbyist for Finra to promote its campaign to become the self-regulator of investment advisers
Protection against rise in interest rates may not be enough to offset risks; 'use them peripherally'
