This year, Skip Schweiss, president of TD Ameritrade Trust Co., took on an additional role as managing director of advocacy and industry issues
Sanders Morris Harris facing disciplinary action for alleged violations of securities laws; two ex-employees also named
Group's research indicates commission-based accounts most cost-effective; critic dubs study 'a complete and total waste'
The potential for political upheaval on Capitol Hill following the Nov. 2 election has grabbed the attention of many financial interest groups — and has some preparing to change the targets for their advocacy efforts.
While federal agencies conduct scores of studies and write hundreds of regulations implementing the sweeping Dodd-Frank financial-reform law, investment advisers wait with trepidation
One by one, the groups representing constituencies in the financial services industry have trooped into meetings with SEC officials to present their arguments about whether the commission should promulgate a regulation imposing a universal standard of care for retail investment advice
Securities and Exchange Commission member Troy A. Paredes delivered remarks at the Securities Traders Association's 77th annual conference and business meeting on Sept. 24 in Washington
Steve Rattner in fighting mood, as onetime boss of Quadrangle Group tangles with N.Y. AG
The U.S. Securities and Exchange Commission is investigating whether Citigroup Inc. misled investors about the riskiness of some soured debt funds, the Wall Street Journal reported, citing unidentified people familiar with the matter.
Hernandez evaded paying taxes on $8.8M; advised wealthy clients on -- yep -- taxes and offshore trusts
Customers defrauded by Bernard Madoff's Ponzi scheme deserve repayment of as much as $500,000 each, even if they took out more than they put into his investment business, a lawyer argued today to an appeals court.
Warren Buffett's Berkshire Hathaway Inc. sold stakes in Home Depot Inc. and CarMax Inc. and cut its holding of Nike Inc. as the billionaire replaced a retiring investment manager and built the company's cash holdings.
Proxy proposals seeking to shed more light on the Financial Industry Regulatory Authority Inc. have emerged as a hot-button issue in the self-regulator's election for seven open board seats.
An unfair regulatory system is hurting small brokerage firms and needs to be changed, according to candidates running for seats on the board of the Financial Industry Regulatory Authority Inc.
Rhonda Breard, Washington state adviser – and local celebrity – accused of stealing $8M from clients
B-Ds' account statements come under scrutiny; further guidance from regulator possible
Industry group cobbling together best practices for private placements; sponsor-supplied reports not sufficient
A little-known provision within the Dodd-Frank law gives the Securities and Exchange Commission the power to remove mandatory-arbitration language from client-broker agreements, which could expose broker-dealers to huge costs, according to observers
Dozens of plaintiffs suing brokerage firms this month have seen a veritable gusher of multimillion-dollar awards, leaving some plaintiff's attorneys anticipating a continued stream of such arbitration rulings
Montana's commissioner of securities and insurance has sued Securities America Inc. over the sale of failed private placements, making it the second state to target the broker-dealer for selling the risky investments.
