Federal lawmakers are pressing officials of the Securities Investor Protection Corp. to reimburse its Ponzi scheme victims.
Finra awards bank executive $870,000 over suitability of TW Tax Advantaged Fund
Morgan Keegan, the brokerage being sold to Raymond James Financial Corp., lost its bid to be dismissed from an $8 billion lawsuit brought by Canadian insurer Fairfax Financial Holdings Ltd.
Merrill Lynch will pay $1 million to settle Finra claims it circumvented rules that require arbitration before disputes go to court
Case appears to be headed for settlement after judge issues dismissal order; Reich was former NY district director
Growing number of defections seen over specific issues; whose side you on, anyway?
SEC, money market reforms get D's; 'put politics aside'
Regulator says Reich was fired because he failed to supervise subordinates or exercise leadership; he's suing for age discrimination
A former district director filed a lawsuit against Finra. The cause? Reportedly, he claims he was terminated and replaced by a younger person.
Ephren W. Taylor II allegedly encouraged churchgoers to invest in gaming machines, badmouthed mutual funds
A B-D exec who 'crossed paths' with accused Afghanistan shooter Robert Bales claims his reputation has been severely tarnished by reports of his connection to the mass-murder suspect.
Faces up to 57 months in prison after admitting in court that he betrayed his fiduciary duty to his employers by passing the tips to his friend.
Accuse Bears' legend Jim McMahon of 'gross negligence' as director of Broadway Bank
Crowd-funding bill has overwhelming bipartisan support, but new roadblocks appear
Coming Finra investor alert for business development companies could highlight concerns similar to those of nontraded REITs
An investor has seen her real estate investment with Behringer Harvard Holdings drop by 96% and she is appealing to Finra for answers.
More than half of those surveyed by AARP want Dodd-Frank reforms on consumer protection implemented
Critics have long claimed that advisers should not be allowed to charge performance-based fees when working with unsophisticated clients. Now, the SEC has weighed in, dramatically increasing the net-worth a client must posses to qualify for such a pricing arrangement.
