Wedbush Securities Inc. was ordered to pay former municipal bond trader Stephen Kelleher $3.5 million for failing to give him years' worth of incentive-based compensation he was owed
A lawsuit by an NFL player against his investment advisers that was settled months ago has come back to life
Republicans on the House Financial Services Committee are watching carefully to see how the SEC proceeds with a rule that would subject broker-dealers to a fiduciary duty.
A rule aimed at protecting small investors who buy U.S. commodity contracts from retail brokers will go into effect.
A Republican commissioner on the Financial Crisis Inquiry Commission urged his colleagues to make sure the panel's conclusions would “not undermine” his party's efforts in the U.S. House to change or repeal the Dodd-Frank Act.
Claim custody bank defrauded customers in foreign currency transactions; 'virtually worst rates of the day'
An attempt by House Republicans to freeze the Securities and Exchange Commission's budget will meet resistance in the Senate, where the Democratic majority will seek to give the agency the increase recommended in the Obama administration budget.
The following remarks were delivered May 24 by Richard G. Ketchum, chairman and chief executive of the Financial Industry Regulatory Authority Inc., at its annual meeting in Washington
Advisers, start planning now. According to a retirement policy expert, deficit pressures in Washington leave little room for further extensions of tax breaks in 2013.
Several current and former National Football League players recently have found themselves ensnared in alleged Ponzi schemes or legal battles over failed investments
Alex Brown, a defensive end with the New Orleans Saints, is suing his former team of financial advisers, alleging that they “abused the trust” of the player and his wife.
Critics skewered a new proposal by Finra to bar ex-officials at the SRO from representing clients in disciplinary hearings conducted by the regulator. So what's all the fuss about?
The leading Senate Republican on financial issues won't block the confirmation of two Securities and Exchange Commission nominees, though he will push the agency to conduct economic analyses of financial regulations — a demand that is slowing down the implementation of the Dodd-Frank reform law
If oil is what drives the U.S. economy, than let's put the real powers-that-be in the driver's seat
Regulators said to be concerned about funds not truly tracking underlying indexes, as well as vulnerability to short sales
As the financial advisory industry continues to evolve, more investment professionals and firms are embracing the hybrid registered investment adviser model.
