Florida Atlantic University's College of Business yesterday stripped life insurance guru Barry Kaye's name from the school, according to published reports.
Hold onto your books. Because Management is not what is used to be--Or will be.
Boston's Fidelity Investments spent $940,000 — both directly and via third-party firms – during the second quarter to lobby Washington lawmakers on financial regulatory reform, retirement, taxes and other issues, according to recent filings with the Office of the Clerk of the House of Representatives.
Microsoft's latest operating system will become available to advisers and the rest of the world Oct. 22. The system will grace the shelves of retailers in all its shrink-wrapped glory, but most folks will be buying it pre-installed on new desktop or laptop PCs. Experts believe that the buy-it-installed route is the way most users,
The Financial Planning Association has urged the Securities and Exchange Commission to restrict the Financial Industry Regulatory Authority Inc.'s enforcement power.
A retired Michigan couple has filed a securities arbitration claim against Merrill Lynch & Co. Inc. alleging that improper sales practices led to a loss of $650,000 — the latest example of what some securities lawyers see as a rising tide of claims involving the preferred stock of financial firms.
History is rife with examples of adverse, unintended consequences resulting from well-intentioned lawmaking acting in the face of a crisis.
A former top executive of Securities America feared “a panicked run on the bank” from clients who invested in private securities of Medical Capital Holdings Inc., which the Securities and Exchange Commission sued last month for fraud.
By definition, prudence involves the exercise of skill and good judgment in the use of resources. It is a core fiduciary duty.
I like to read important proposed legislation. Actually, I don't so much like it — the text is often mind-numbing — but I make myself do it because I think that it is important.
The Department of the Treasury last Tuesday sent to Capitol Hill the final piece of its financial regulatory reform legislation, a 115-page bill aimed at reforming regulation of over-the-counter derivatives.
A former broker with Wells Fargo Advisors LLC of St. Louis has sued the firm for sexual discrimination.
Having already added nearly 300 financial advisers in the first six months of the year, Stifel Financial Corp. is now poised to add another 350 new advisers — at least — in the second half of 2009.
The state of Ohio yesterday reached a $115 million settlement with ex-AIG chief executive Maurice R. “Hank” Greenberg and a handful of former AIG executives in a suit that alleged bid rigging and accounting fraud.
Daniel Andersen, a promoter serving time in prison, was permanently barred from marketing fraudulent tax schemes by the U.S. District Court for the Western District of Washington in Seattle.
Envestnet unveils tax management overlay; Cabinet NG's document management software updated
The Four Remaining Wire Houses Will Succeed or Fail Based on How Well They Address These Three Things
Just months before his now-infamous Ponzi scheme collapsed, Bernie Madoff snookered a Merrill Lynch adviser who was attempting to perform due diligence on him for a foundation that serves the elderly, according to a lawsuit filed in federal court in Florida last week.
The Securities and Exchange Commission on Tuesday filed an administrative proceeding against Axa Advisors LLC for failing to supervise a former registered representative who pleaded guilty to securities fraud in January 2008.
Hong Kong regulators on Monday banned a former banker at one of Asia's top stock brokerages from the territory's financial industry for life after he was jailed for insider trading.
