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REGULATION AND LEGISLATION AUG 20, 2009
Peeved about losses, Bahamas couple files $5M arbitration claim against Merrill

A securities arbitration claim of $5 million has been filed against Merrill Lynch by a Freeport, Bahamas couple who say the preferred financial company stocks the company sold them were unsuitable, according to the law firm representing the couple.

ETFS AUG 20, 2009
Two law firms weigh class action over sales of non-typical ETFs

Two law firms are investigating potential claims on behalf of retail investors who purchased leveraged, inverse and leveraged-inverse exchange traded funds and held them in their brokerage accounts for longer than one day.

RIA NEWS AUG 19, 2009
World markets fall, rattled by sharp loss in China

RIA NEWS AUG 19, 2009
Inside the mind of Bob Benmosche: Why AIG is keeping its B-Ds

It turns out that Bob Benmosche, the new head of American International Group, isn't selling the company's three independent broker-dealers.

PRACTICE MANAGEMENT AUG 18, 2009
Proving your value to affluent clients

In your best clients' eyes, are you a knowledgeable, informed resource? Do you know about issues that are of greatest concern to your affluent clients?

ALTERNATIVES AUG 18, 2009
Single-family home building rises for 5th month

Construction of single-family U.S. homes rose 1.7 percent in July, the fifth-straight monthly increase as builders poured foundations at the fastest pace since last October, the Commerce Department said Tuesday.

RIA NEWS AUG 18, 2009
Wholesale prices drop more than expected in July

Wholesale prices dropped sharply in July, and over the past 12 months fell by the largest amount in more than six decades of record-keeping.

ETFS AUG 18, 2009
SEC joins Finra in warning about use of leveraged and inverse ETFs

The Securities and Exchange Commission today got behind the Financial Industry Regulatory Authority Inc.'s effort to alert investors about the potential pitfalls of leveraged, inverse and leveraged-inverse exchange traded funds.

ALTERNATIVES AUG 17, 2009
Homebuilder sentiment index rises in August

The National Association of Home Builders said Monday its housing market index rose in August to the highest point in more than a year, as homebuyers hurried to take advantage of a federal tax credit before it expires.

RIA NEWS AUG 17, 2009
World stocks, oil slide on U.S. consumer worries