Cliff Popper, a broker notorious for high living and high commissions from sales of mortgage-backed securities, committed suicide on Tuesday.
Finra is under scrutiny from a government watchdog as Congress prepares to consider a proposal that would give the agency oversight of investment advisers.
The Facebook IPO flameout carries both healthy and unhealthy lessons for the investment community.
Judge orders repayment in suit filed by the Labor Department
Shielding assets now a prime concern of the rich; different states, different rules
Affinity practice best bet to retain book of business; whole lot of jumping going on
State regulators angered by 'astonishing attack...on federalism'; some claim measure paves the way for Finra oversight
Next Financial Group Inc. has agreed to pay $2 million in restitution to clients who bought oil and natural gas private placements of Provident Royalties LLC.
Agree to return customer info in protocol flap; decision now rests with Finra panel
After strong growth in 2010 and 2011, VA sales are expected to slow as products become less attractive, guaranteed-withdrawal percentages slide and fees continue to skyrocket.
Insurer turns focus to tax deferral, alt investments and fee-based advisers
Fingers pointed at Morgan Stanley, Nasdaq -- and social networking company's top execs; owners got theirs
