Market regulators have fined a New York-based brokerage firm $1 million for creating a false sense of demand for stocks that earned it profits.
Robert W. Baird & Co. Inc. said today it has hired nine advisers from Morgan Stanley Smith Barney LLC who collectively oversee nearly $1.3 billion in client assets.
U.S. regulators said mutual funds aren't telling investors enough about why they use derivatives, with some funds providing “generic” disclosures and others failing to explain how the products affect performance.
Average Joe smacked by contango, pre-rolling, and Wall Street sharpies. 'I make a living off the dumb money,' says one professional futures trader.
Little-discussed provision in Dodd-Frank empowers the commission to put an end to mandatory arbitration
Equity markets are churning slightly above their topside “breakout” levels, begging the question, “Is this an upside breakout; or, an upside fake out?”
Gold could fall as some investors sell the metal after prices rallied to a record on demand for a protection of wealth and an alternative to a weakening dollar. And senior editor Dan Jamieson has five reasons that investors <a href=http://www.investmentnews.com/article/20101003/REG/310039989>should be bailing on bullion.</a>
Finra's efforts last week to open up its arbitration process have pleased — but not satisfied — critics who claim that the proposal doesn't go far enough to protect investors.
New Jersey's insurance commissioner is proposing an amendment which would provide unlimited coverage in the case of certain insolvencies
Surprise: it's not gold, meanwhile, bank predicts agricultural sector will come a cropper
Highest earners will take big hits from hiked tax rate, cap gains charge; 'really scary'
'Buy' recommendations for stocks at the lowest level since 1997; 'don't want to stick their necks out'
JPMorgan Chase will revamp its $1.6 trillion asset management unit to compete against the likes of Blackrock and Pimco, a person with direct knowledge of the changes said.
Target date fund managers who added commodities to their funds in recent months with the hope of diversifying their portfolios have made a startling discovery: Alternative investments continue to move in lockstep with the overall stock market.
The financial system experiences a crisis “every five to seven years,” JPMorgan Chase & Co. Chief Executive Officer Jamie Dimon told the Financial Crisis Inquiry Commission in January.
Dismissals and defections after losing bet on coal leaves unit down 20% against plan for the first half of 2010; 'don't panic'
U.S. Capital Advisors LLC has picked up a $600 million team from UBS Financial Services Inc. — the <a href= http://www.investmentnews.com/article/20101017/REG/310179981> second high-producing team the firm has picked up from UBS</a> in the last six weeks.
Certified public accountants have been working on ways to add financial planning to their practices for the past 20 years
The Dow Jones industrial average closed above 11,000 for the first time in five months as hopes build that the Federal Reserve will take more action to get the economy going again.
Steady, dividend-paying companies gaining in popularity -- but not with fund managers
