Structured products, non-traded REITs and private placements just a few of the products under scrutiny.
High court says 'presumption of prudence' shouldn't be considered a special defense against lawsuits alleging breaches of fiduciary duty.
On Friday's menu: Barclays hits back on dark pool charges. Plus: Seeing the markets through the eyes of regular investors, why young folks should embrace bear markets, discount retailers set to shine, another cheap swipe at mortgage interest deductions, and the SEC hasn't forgotten about those pesky high-speed traders.
Charges against trader are sign of prosecutor's willingness to criminalize financial industry disputes formerly relegated to contract litigation
Public pressure on Finra's expungement process has arbitrators thinking twice about erasing disclosure events, attorneys on both sides agree.
The investment research firm will pay Business Logic for the software company's intellectual property.
Helps fee-only planners meet CFP Board definition prohibiting such affiliation with firms that charge commissions
Finra says Morgan Stanley advisers allegedly failed to make key distinctions when soliciting clients to buy shares in 83 IPOs including Yelp and Facebook.
Berthel Fisher, not long after settling most of their claims over DBSI, gets hit with a lawsuit over a failed private placement notes deal by a noted real estate investor. Bruce Kelly has the details.
Revisions are a sign of pressure to come on the financial reform package.
Settlement requires him to pay more than $500,000
California Democrat cites stats showing that every year, SEC examines just 9% of the roughly 11,000 RIAs under its purview.
Morningstar reached an agreement with Business Logic, which had filed an intellectual property lawsuit against the research firm.
Business Logic Corp., a managed accounts software firm, is suing Morningstar Inc., claiming the company illegally replicated some of its software
From improperly storing client data to misusing document management systems, here are the top mistakes technology experts see advisers making.
Agency approves rule to throw more candidates into nonpublic pool.
SEC approves Finra background check rule; expanded requirement faces industry pushback but could help firms avoid rogue hires.
Plus: Janet Yellen's dovish optimism, Ernst & Young's $4 million lobbying settlement, how Citigroup agreed on that $7 billion figure, and QE has had almost no impact on unemployment
Patricia Miller promised clients high yields if they went into “investment clubs.”
