Virtual database of actions replaces old paper-based system; not a response to BrightScope, spokeswoman says
Heavy lobbying effort to preserve 15% tax rate; 'constituency that Congress always cares about'
Regulator cracking down on risky or nontraded REITs, VAs and private placements; also zeroing in on B-Ds' fees
Four brokers who won a $1.1 million arbitration award against Wachovia Securities LLC last month are asking a federal court to punish the firm for what they say are misrepresentations it made in getting a temporary restraining order against them.
The bad blood between St. Louis crosstown rivals Stifel Nicolaus & Co. Inc. and the former Wachovia Securities LLC continues.
Rep. Tim Huelskamp from Kansas has proposed a bill that would permanently repeal the estate tax; Finra warns advisers about risky investments, while the SEC urges responsibility when using social media.
Allen Stanford investors claim regulators should have glommed on to the Ponzi scheme much earlier.
Named as defendants in the lawsuit filed Wednesday by UBS Financial Services Inc. are David Kinnear and Kathleen Bakas.
Montana farmers are suing John Corzine for fraud, saying he oversaw the misappropriation of their commodity trading account funds.
'No justification' for Wall Street giant getting a pass, says one compliance expert; making ex-boss of Goldman Sachs take a Series 7 might be deemed laughable
Candidate's tax revelation casts unflattering light on shadowy world of private equity; 'crazy not to bring it up'
President calls for implementation of Buffett rule; gridlock more likely
Bernard Madoff Ponzi scheme trustee Irving Picard has filed a revised lawsuit now claiming a minimum of $19 billion in damages from JPMorgan Chase & Co.
Opponents -- both Dems and Republicans -- pouncing on front-runner's low tax rate; 'terrible blunder'
Carried-interest break Washington's fault, Oracle says; 'the wrong policy to have'
Mitt Romney may have trouble convincing some Republicans of his conservative bona fides, but his emergence as the GOP presidential front-runner is just fine with investment advisers, many of whom think that he has the best chance of beating President Barack Obama.
