Handing over Derek Jeter's milestone ball has made a celebrity out of Christian Lopez -- and the financial implications also could have his head spinning.
Warrant issued for man who allegedly steered Chargers' Buster Davis into airplane hangar investments
In October, a Finra arbitration panel ordered Citigroup to pay former 'Dallas' star Larry Hagman a whopping $11.6 million for, among other things, breach of fiduciary duty. Yesterday, a judge threw out the award, saying that one of the panel members may not have been impartial.
Will Ferrell may have the No.1 movie in America. But that didn't cut any ice with a Finra arbitration panel, which ruled against Ferrell and Larry David in a claim against J.P. Morgan Securities.
Accountant helps Charlie Moneymaker, other card sharps with taxes, finances; 'don't get stupid'
If you want to believe that the lame-duck Congress will come to the rescue after Election Day and renew the Bush-era tax cuts, return the estate tax to its more palatable 2009 levels and increase the exemptions from the alternative-minimum tax, go ahead
It's been an ugly, mud-slinging, smackdown of a campaign. The results may not be any prettier -- at least, not for advocates of financial reform.
No matter where you stand in this increasingly divided political landscape, the financial markets are a good bet to rally following the Nov. 2 elections.
Next Financial Group Inc. has been hit with a significant regulatory action for the third time in three years, with Finra this month levying a $400,000 fine and $102,000 in restitution to clients.
In yet another sign of the move toward regulatory harmonization, the Financial Industry Regulatory Authority Inc. has asked for input on how to create an ADV-like form for broker-dealers.
If history is any indication, the financial markets are likely to rally following the Nov. 2 elections
Securities America Inc. has picked up Verus Capital Partners LLC, a Scottsdale, Ariz., firm with $225 million in assets and 20 advisers.
Anderson Strudwick Inc., a small, Richmond, Va.-based regional firm, continues to pick up offices and reps of troubled broker-dealers.
The Securities and Exchange Commission is targeting compensation practices across the brokerage industry — specifically the large upfront bonuses firms pay many brokers and advisers when they leave one firm and join another.
The expanding universe of socially conscious investments is beginning to coalesce under one umbrella: “impact investing.”
It isn't an overstatement to say that the future of the advice business hangs in the balance as federal agencies conduct scores of studies and write hundreds of regulations designed to carry out the sweeping mandates of the Dodd-Frank financial-reform law
Returns from debt securities issued by companies that have defaulted or are close to defaulting are down from their double-digit gains of last year, but distressed debt is still a bright spot for investors
Clients know that it is necessary to buy homeowners insurance and car insurance, but too many leave it at that
Elton Johnson, owner of Amerivet Securities Inc., has made a name for himself by being a thorn in the side of the Financial Industry Regulatory Authority Inc.
Getting clients to think long-term in terms of investing is easier said than done, particularly after the 2008 market meltdown and, more recently, the May 6 flash crash, said financial advisers who attended The Charles Schwab Corp.'s Impact conference in Boston last week
