Ex-Credit Suisse Group AG broker Eric Butler can remain free while he appeals his securities-fraud conviction, a judge ruled, overturning another judge's decision.
InvestmentNews has now released its latest independent broker-dealer rankings, which can be viewed here. Below are two lists on the average payouts at the largest independent broker-dealers, based on information that InvestmentNews has gathered directly from the firms that have participated in the annual survey.
Count mutual funds and their investors among the big losers in the legal battle between the SEC and The Goldman Sachs Group Inc.'s broker-dealer unit.
The SEC's fraud suit against Goldman Sachs could trigger additional probes of collateralized debt obligations and lead to stricter regulation of the financial services industry
In court, Renato Negrin conceded that switching from a landline to a mobile during a talk with Jon-Paul Rorech was not normal. The duo are accused of insider trading
Fred C.C. “Corky” Crozier, the former head of private client services at Deutsche Bank's U.S. brokerage unit, has returned to the firm as a managing director and adviser in its Baltimore office.
Ameriprise Financial Inc. Chairman and CEO James M. Cracchiolo saw his total compensation grow 52 percent in 2009 to $18.2 million, largely because he earned a cash incentive after receiving no such award the previous year.
After winning dismissal of a class action claim brought by six former Smith Barney brokers last month, Citigroup is vowing to go after the brokers for legal fees.
The following is a weekly investment commentary by Bob Doll, vice chairman and chief equity strategist for fundamental equities at BlackRock Inc.
RBC Wealth Management continues to add financial advisers from competing brokerages and has now recruited a two-person team from Stifel Nicolaus, a subsidiary of Stifel Financial Corp.
Two broker-dealers are coming out swinging against investors and securities regulators who are looking for redress over the sale of private placements that went belly up last year.
The broker-dealer has fired back at a state regulator with some stinging accusations of ignorance.
PriceMetrix Inc. is introducing a market-based commission guide today that financial advisers can use to determine what to charge for commissions on securities trades.
The SEC's Regulation S-P puts many advisers in a bind.
A pleasure cruise down memory lane, with some of the best spots ever seen on TV. Join the fun -- and tell us your favorite
Good sense has vanished from many areas of American life including how families manage their money, says economist and television commentator Ben Stein.
Chardonnay-sayers proved wrong, as fine wine index hits new high after tanking in 2008
How can an Advisor or a Firm "own" someone else's money?
Merrill Lynch is carving out some of its private banking units from the broker recruiting protocol.
In the old days (pre 2004), firms would sue each other when an Advisor went from one firm to the other. “We own the book!” they cried (as if any firm or individual could somehow “own” someone else's money).
