Finra claims there's something rotten going on with the way David Lerner Associates has been marketing its popular Apple REITs. Now, the regulator is going after Lerner himself.
Merrill Lynch will pay $1 million to settle Finra claims it circumvented rules that require arbitration before disputes go to court
Firm to buy Genworth sub in second major deal in a month; insurer selling off noncore businesses
Broker-dealer powerhouse LPL on Wednesday announced it's rejiggering its top brass. The main move: firm veteran Esther Stearns is being moved out to head a new subsidiary.
Case appears to be headed for settlement after judge issues dismissal order; Reich was former NY district director
No idea about tax benefits of the accounts, or maximum contributions
Growing number of defections seen over specific issues; whose side you on, anyway?
Equities markets might be closed tomorrow for Good Friday, but that doesn't mean some traders wont be at work waiting for tomorrow's jobs report.
Demand for alternative investments is on the rise, with clients eager to funnel money into real estate, private placements and hedge funds. But with nagging custody issues, plus regulatory warnings, few advisers can meet the growing number of requests.
SEC, money market reforms get D's; 'put politics aside'
UBS AG, Switzerland's biggest lender, said Robert J. McCann, the head of wealth management Americas, was the highest-paid member of the executive board in 2011, receiving total compensation of 9.18 million Swiss francs ($9.9 million).
Teams rejoin former colleagues McCann, Mulholland; UBS bosses 'seen as regular guys'
Regulator says Reich was fired because he failed to supervise subordinates or exercise leadership; he's suing for age discrimination
A former district director filed a lawsuit against Finra. The cause? Reportedly, he claims he was terminated and replaced by a younger person.
