Fabeetle.com, a website that allows clients to rate, review and research financial advisers, has the potential to become a third-party search and marketing hub for both consumers and advisers that one day could compete with Finra's BrokerCheck.
Former brokers with disciplinary records are going to find it harder to cover their tracks if the Financial Industry Regulatory Authority has its way. Today, the brokerage industry's self policing body proposed further expansion of broker information available through its free BrokerCheck service.
A small but growing number of vendors are tackling the problem of exerting control over social networks within the financial services industry.
'We gave the SEC the power to do it', the Congressman said just moments before the House passed the financial-reform bill. 'And they're going to do it.'
With the federal estate tax law having lapsed — and no sign that Congress is planning to address the issue anytime soon — a growing number of states are taking matters into their own hands.
Two former financial advisers who were barred from the securities industry have sued Utah for $357.6 million, accusing state regulators of targeting them without proof of wrongdoing in an over-zealous campaign to bring down securities violators.
In an apparent first, two former financial advisers have filed a lawsuit against a state government, claiming that it violated their civil rights.
Whether or not he knows it, by setting his objective, doing his due diligence, following a process, and focusing on his goal, LeBron exhibited the skills of a good fiduciary.
Investors will soon be able to see more customer complaints, criminal convictions and rulings against brokers, a securities regulator said Tuesday.
The economy and stock market are sending mixed and confusing signals.
Elderly heiress loses bid to stop daughter from challenging $1.4B in gifts to younger man
Nevin Shapiro, the former owner of Capitol Investments USA Inc., was indicted for allegedly leading an $880 million Ponzi scheme keyed to a bogus wholesale grocery distribution business, the U.S. Justice Department said.
Members of Congress want to quash a tax break that favors fund managers. Guess what fund managers think of the plan?
Advisers in Massachusetts whose personally indentifiable information was accidentally released by a state regulator likely have little recourse, experts say.
The SEC, Finra and four states have charged Morgan Keegan with fraudulently overvaluing several bond funds in 2007. Apparently, that hasn't moved accountant PwC to revisit its audit of the funds
U.S. prosecutors unsealed an indictment formally charging 11 alleged members of a long-term, deep-cover Russian spy ring – one that officials said includes a former financial planner who worked for an advisory and tax firm in New York.
The financial reform bill, which now looks likely to pass the Senate, directs the Securities and Exchange Commission to conduct a long list of detailed studies.
Whether they earn the league minimum or a superstar's salary, football players have to know the basics of handling money to succeed financially.
In signing off last Friday on the most sweeping overhaul of financial regulation since the Great Depression, congressional negotiators took a major step toward empowering the SEC to decide whether stockbrokers should be more accountable to individual investors.
