A nationwide law enforcement crackdown targeting financial fraud has led to cases against 343 criminal defendants involving $8.3 billion in estimated losses, Attorney General Eric Holder announced Monday.
These are the following remarks delivered by Securities and Exchange Commission Chairman Mary L. Schapiro as part of the Brodsky Family Fund Lecture Series at Northwestern University School of Law on Nov. 9
Roughly 76% of individuals under 61 who purchased long-term-care insurance during the first half of 2010 will pay less than $2,500 a year, according to a study released today by the American Association for Long-Term Care Insurance.
Announcement heralds increased technology sharing with other parts of Fidelity
As of late, most financial advice regarding retirement options has been geared toward company employees
Stocks rose, copper and gold climbed to all-time highs and Treasuries fell after President Barack Obama agreed to extend tax cuts, offsetting concern that Europe's debt crisis will spread further.
President Barack Obama and congressional Republicans kick-started negotiations today at the White House over a possible extension of Bush-era tax cuts that are set to expire Dec. 31.
An Omaha businessman convicted of bilking elderly investors out of millions of dollars wants the Nebraska Supreme Court to reinstate his lawsuit against his business attorney.
The SEC should move with haste to revamp 12(b)-1 fees
The U.S. Labor Department sued four investment firms for allegedly failing to examine swindler Bernard Madoff's business practices before entrusting him with hundreds of millions of dollars in pension funds.
Confluence will audit data through Oct. 29; 'the year of transparency'
In the clash of the two largest U.S. brokerages, Bank of America Merrill Lynch is generating more profit with fewer people than Morgan Stanley Smith Barney LLC.
Former Wall Street chieftains Philip Purcell and David Pottruck’s plan to snatch superstar brokers for a start-up advisory firm and independent broker-dealer is making significant strides as a top broker is preparing to leave the ruins of his old firm and go independent.
The U.S. Securities and Exchange Commission sued Trivium Capital Management LLC and an executive of Polycom Inc. in a case stemming from the government's Galleon Group LLC insider-trading investigation.
Who are the largest RIAs in the country? What firms are growing faster than all of the others? Find out in the latest quartely version of this <i>InvestmentNews</i> special report
A broad coalition of accounting, financial planning and consumer groups are hoping that the new Congress will take up a long-sought-after ban on the practice of patenting tax strategies
Next Financial Group Inc. was hit last month with its third significant regulatory action in three years when Finra socked it with a $400,000 fine and $102,000 in restitution to clients.
For some time now, there has been a net outflow of advisers from broker-dealers to investment advisory firms
Congress won't act directly on the recommendations of a presidential deficit commission, but elements of its plan — including the elimination of tax breaks and deferrals for retirement, life insurance and employer-sponsored health care plans — may become part of legislation in coming months.
