The U.S. Securities and Exchange Commission has named Julius Leiman-Carbia as an associate director to lead the agency's national broker-dealer examination program.
Independent financial advisers slam his economic policies; Reagan still the man
Agency extends due date for Form 8939;' good news' for those struggling with cost basis of property
Despite claims of GOP lawmakers, FPC says issue of single standard of care has been thoroughly studied
SEC nixes April-June target to gather more industry feedback
The Federal Energy Regulatory Commission issued a $30 million fine against former Amaranth Advisors LLC energy trader Brian Hunter, who is accused of manipulating the natural-gas futures market in 2006.
Massachusetts plans to regulate expert-network firms, the first state in the U.S. to set rules for an industry that was caught up in the federal government's insider-trading investigation.
Warren slams attempts to weaken authority of new bureau; Wall Street 'behemoths' the real problem
Broad outlines of the debate over comprehensive tax reform are starting to emerge on Capitol Hill
Securities America Inc. could go out of business if a federal judge does not approve a $21 million class action settlement related to private-placement litigation against the company
Commission said to be addressing substantial risks in the market that have gone unchecked; 'there's going to be a lot of trouble ahead'
Southwest Securities Inc., which was fined this month over payments to municipal bond advisers, will pay $650,000 to resolve claims of improper short sales that caused a $6.3 million loss for the firm, according to Finra
Finra is prepared to spank the broker-dealer arm of one of the largest sponsors of non-traded real estate investment trusts for allegedly failing to meet standards for advertising and keeping client information safe
The good news for Ahmass Fakahany, a former top executive of Merrill Lynch & Co. Inc. is that March 24, a Finra panel awarded him $1.2 million in an arbitration claim against his former firm
Ralph Lambiase, longtime director of securities for the state of Connecticut, will be retiring on Feb. 28. Mr. Lambiase, who has been a regulator with the state for 33 years, announced his departure earlier this month to his staff.
Veteran insurance agent Paul A. Mattus has filed suit against The Allstate Corp., claiming that the carrier had muscled him out of his book of business in order to pass it on to a newer, younger agent.
Two New York congressmen today urged the Securities and Exchange Commission to protect the Securities Investor Protection Corp. fund from insolvency due to excessive trustee fees.
UBS Financial Services Inc. has agreed to pay $10.75 million in fines and restitution to settle Finra allegations that its advisers misled clients about the “principal protection” feature of a Lehman Brothers Holdings Inc. bond product sold a few months before that firm filed for bankruptcy.
Home loan giant Wells Fargo & Co. has agreed to pay $11.2 million to settle federal securities charges involving mortgage-based investments that Wachovia Capital Markets LLC sold to the Zuni American Indian tribe and other investors
Officials forced to go virtual rather than show up in person; plenty of glitches
