Even with much higher rates, Bain had little trouble attracting capital
The legalization of same-sex marriage last month in New York already is sending gay and lesbian couples to their financial planners for advice.
Suit charges regulators with conspiring to put his firm, North American Clearing, out of business
Lousy investment performance apparently drove four clients of a financial adviser in Speyer, Germany, to kidnap the adviser and torture him for four days last week, according to published reports.
Finra requested comments two weeks ago about disclosing more info through BrokerCheck - including brokers' exam scores. Reps' responses? Less is more.
The Financial Industry Regulatory Authority Inc. is looking for input on how it can increase investor use of its BrokerCheck system.
Brokerage ordered to pay $3.7M for jacking up prices on tax-exempt bonds and CMOs; head trader suspended
David Lerner has continued to improperly pitch nontraded REITs, according to an amended complaint filed last month by the self-regulator.
A Florida attorney claims that the Financial Industry Regulatory Authority Inc. derailed his bid to become the state's top financial watchdog in retaliation for a previous legal dispute he had with the regulator.
Collateral damage from $2B hit could extend to self-regulation, hurt SRO bill
Finra levies fines against Citi, Morgan Stanley, UBS and Wells Fargo
Investment advisers could feel the impact of one so-called legislative "payfor" popular with congressional Democrats -- expanding payroll taxes on subchapter S corporations.
OptionsXpress Holdings Inc. conducted a series of sham “reset” transactions designed to give the illusion that the firm had purchased securities to comply with obligations associated with short sales, the SEC said in a statement today.
