GOP wants to sap health care funds to pay the $5.9 billion to freeze a hike in Stafford loan rate; Dems want to end tax breaks for big oil
Push for self-regulator for investment advisers could pick up momentum in the lower chamber
It was revealed this week that Finra has fined and suspended the head of small indie B-D. No big deal, right? Well, this executive also happens to sit on the regulator's board of directors.
Barred broker Ralph Edward Thomas Jr. was sentenced to four years in prison last February and ordered to pay $838,000 in restitution.
Urges commission to extend standard of care to brokers, not devise new rule
It didn't take long for the lobbying to reignite on a bill that would establish one or more self-regulatory organizations for investment advisers after Rep. Spencer Bachus, R-Ala., prevailed in his primary on Tuesday. An interest group was soon paying respects.
A Colorado man faces nine counts of securities fraud related to the sale of Medical Capital notes
Survey reveals investors confused by crush of options – and not sure what they are
Advisers can fill void left by doctors, lawyers; living wills, DNRs crucial
Despite massive mutual fund outflows -- and conventional wisdom about the markets in the summer -- famed stock picker Lazlo Birinyi says investors are making a mistake if they sell in May and go away.
Dispute claims of reps who left after BofA merger
Program costs of Trust Funds to exceed non-interest income this year; well runs dry by 2033
Right now, views on the market are as divided as can be. Example: Goldman Sachs says equities offer a once-in-a-lifetime buying opportunity. But Morgan Stanley says low interest rates signal the recovery is still not back on track -- and sees danger ahead for stocks.
Mooney, Morris launch Snowden Capital Advisors; counting on word of mouth to attract advisers
Insurer sees big room for growth in fund world; relocating, bulking up sales force
Combining U.S. retail sales with marketing, product management, global ETF groups
