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FINTECH SEP 08, 2010
Here's a first: Tech IPOs lagging large-cap performance

Days of Nasdaq offerings trouncing S&P 500 at an end; 'looking for the next Google' -- and not finding it

SEC about to rock muni bond world?
FIXED INCOME SEP 08, 2010
SEC about to rock muni bond world?

Settlement of N.J. suit seen as opening salvo in crackdown on lax disclosure; 'harbinger'

WIREHOUSES SEP 08, 2010
Squawk box brokers lose retrial bid on new evidence

A former broker at Merrill Lynch & Co. and Citigroup Inc. lost a bid to throw out his conviction for selling access to his brokerages' internal “squawk boxes” after arguing prosecutors hid evidence of his innocence.

EQUITIES SEP 08, 2010
Why UBS and Barclays are both bullish about tech

Computer and software shares have slumped to the lowest valuations in two decades, a sign to Barclays Wealth and UBS AG they will rebound as Standard & Poor's 500 Index companies start spending their record cash.

RIA NEWS SEP 08, 2010
Big bargains in the tech aisle, says RS Investments' Thacker

The technology sector has gotten cheap, according to Allison Thacker, who manages $1.4 billion in growth portfolios at RS Investments.

BlackRock restructures leadership after BGI buy: Memo
RIA NEWS SEP 07, 2010
BlackRock restructures leadership after BGI buy: Memo

BlackRock Inc., the world's biggest asset manager, named Rich Kushel as head of portfolio management and Charles Hallac as chief operating officer, reshaping its leadership team after the purchase of Barclays Global Investors.

FINTECH SEP 07, 2010
NPH's WealthOne is central to B-Ds' recruitment strategy

With the launch of WealthOne, National Planning Holdings Inc.'s network of four broker-dealers has a major new set of tools at its disposal.

Charles Schwab to pay $200M to settle YieldPlus lawsuit
RIA NEWS SEP 07, 2010
Charles Schwab to pay $200M to settle YieldPlus lawsuit

Charles Schwab will pay $200 million to resolve a federal class action lawsuit filed by investors who say the financial holding company misled them over the safety of mortgage-backed securities.

Burry slams Greenspan for 'missing the boat' on subprime mess
REGULATION, LEGAL & COMPLIANCE SEP 07, 2010
Burry slams Greenspan for 'missing the boat' on subprime mess

Money manager who saw the mortgage meltdown coming says the central bank boss needs to explain why the Fed didn't

LIFE INSURANCE AND ANNUITIES SEP 05, 2010
Conn. insurance cops to look into The Hartford's 'exchange' letter

Connecticut insurance commissioner Thomas R. Sullivan will look into whether The Hartford participated in “misleading practices” in its marketing of a new variable annuity, the commissioner's office announced today.