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.
Those crafty Canadians at Emerging Information Systems Inc. know how to keep financial advisers coming back for more.
SEC staff attorneys have been required to show proof that they are active members in good standing with at least one state bar association.
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Leaders of a presidential deficit commission recommend the elimination of all tax breaks for retirement, life insurance and employer-sponsored health care plans in their final report, which was released Wednesday and will be voted on by the full panel Friday morning.
Diamondback Capital Management LLC, one of three hedge funds raided by the FBI last week, said it received a federal grand jury subpoena and is cooperating in a U.S. probe that it said includes research consultants.
The House of Representatives approved on Thursday a bill that would permanently extend Bush administration tax cuts for the middle class but allow rates for wealthier taxpayers to increase.
