Brokers are up in arms about what they say is an increasing number of fines for innocent trade-reporting errors.
Neuberger Berman Group LLC, a money manager that was part of Lehman Brothers Holdings Inc., was ordered by an industry regulator to pay about $4 million to three clients who bought structured notes backed by the failed investment bank
HMOs, even Apple undervalued, fund manager says; mess in Washington will get straightened out
Like the President, Republican leaders gave thumbs up to TARP, prescription drug plan, foreign wars; 'plenty of blame to go around'
Neuberger Berman Group LLC, the money manager that was part of Lehman Brothers Holdings Inc., was ordered by an industry regulator to pay about $4 million to three clients who bought structured notes backed by the failed investment bank.
Letter details how a universal standard could accommodate brokers
Leveraged and inverse funds over the head of the average investor, NASAA warns; plenty of fees, too
David Lerner Associates Inc. has been sued by investors who claim that it acted negligently in the sale and underwriting of more than $6.8 billion in shares of the Apple Real Estate Investment Trusts
Negative yields return, corporate debt's spurned, and money funds churn, as panicked investors seek out less-risky paper
In the initial year of Dodd-Frank, which reaches its first anniversary Thursday, regulators overseeing banking, commodities and securities have been pressed to conduct 73 studies and write 400 new rules. As of July 1, only 38 of those rules have been finalized.
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
A rule aimed at protecting small investors who buy U.S. commodity contracts from retail brokers will go into effect.
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 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.
