Allegations of document destruction is latest in long list of complaints about Commission
Employment status debate resurfaces in California, a labor-law bellwether. More good news? B-Ds may be a very tempting target for cash-strapped states
These seven states have the lousiest credit ratings. Muni investors, beware.
Limiting the size of their practices allows them to devote more time to clients
After five years, financial advisory firms move from the startup stage to adolescence, where they are faced with decisions that could affect their business for the next 20 years.
Who'd a thunk it? Life insurers, now cash-rich, have rebounded nicely from the financial crisis. But their shares are still cheap compared with those of banks, analysts say.
Assets of the 500 biggest managers of U.S. institutional tax-exempt money jumped 11.2% in 2010, just half a percentage point off the pace of the prior year's rebound from the global financial crisis, according to sister publication Pensions & Investments' latest annual money manager survey.
Small B-D in Georgia ceases operations; sold $215K of preferred stock in Provident private placement
Whether Sallie Krawcheck's (pictured) Merrill Lynch brokers and Bank of America bankers can live happily ever after — and produce greater profits as a result of their marriage — is being put to the test at the nation's largest financial institution
Global wealth boss said company lost 35 reps to independent B-Ds last year, but picked up 25
Executives at illiquid-asset exchange SecondMarket Inc. want traditional money managers to use their company
An ex-Lehman Brothers Holdings Inc. brokerage executive took his fight for $19.6 million in bonuses to a higher court after a bankruptcy judge said Barclays Plc didn't agree to be bound by his Lehman contract when it bought the brokerage.
JPMorgan Chase & Co. will settle claims against it brought by Lehman Brothers Holdings Inc.'s brokerage by returning $800 million in cash and securities, according to court papers.
Number of high net worth individuals swells, as markets recover; good two years for Houston
After five years, financial advisory firms move from the launch stage to adolescence, where they are faced with decisions that could affect their business for the next 20 years.
Looks like clear sailing for Aguilar, Gallagher; same can't be said for implementation of financial reforms
Dodd-Frank co-author sends letter to commission not to foist 1940 law onto broker-dealers
The Securities and Exchange Commission staff member who coordinated its study of a universal fiduciary duty for retail investment advice said last Monday that a follow-up regulation won't come until later in the year
After the financial markets see-sawed through several distinct phases for much of 2010, investors gradually regained confidence late in the year and stocks rallied as mixed economic indicators became more positive.
The firm is seeking $344K from the ex-broker - and current Hamilton County, Ohio trustee - for alleged 'unauthorized withdrawals' from a client's account.
