Emerging-markets central banks risk triggering a “1994-style” sell-off in global bonds as soon as next year if they are still tightening monetary policy when the Federal Reserve begins raising interest rates
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
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.
Peter Kraus has worked for more than two years to stem client defections from investment manager AllianceBernstein LP
Officials forced to go virtual rather than show up in person; plenty of glitches
'Black Swan' author says steer clear of Treasuries, U.S. greenback; 'Euro has Germany, the dollar has nothing'
Emerging markets remain red-hot among investors, but rather than just making a broad sector bet, advisers should look for specific and strategic exposure to these economies as a way to minimize risk and take advantage of sweet deals.
Increasingly, e-mail blunders are coming back to bite financial advisers and the firms they work for
Jefferies Group Inc. (JEF) agreed to pay about $2 million to resolve Financial Industry Regulatory Authority claims that three employees failed to disclose conflicts of interest while selling auction-rate securities.
