Whistle-blowers can collect as much as 30% of penalties when they report wrongdoing, even when they bypass their internal complaint systems.
With registration requirements looming, more hedge fund managers are likely to follow George Soros in opting for the family office structure over the red tape of running a hedge fund.
DOL's latest start date — Jan. 1 — still too soon, industry group contends
Phyllis Borzi has come a long way since her days as a high school English teacher.
Putting an end to a bitter dispute over the sale of failed private placements, Securities America Inc. has agreed to make whole 63 Massachusetts clients who bought $5 million of failed notes issued by Medical Capital Holdings Inc.
Finra president Richard Ketchum says brokerages must make certain reps understand how complex financial instruments work -- before hawking them to clients.
Regulator claims marketing material produced by B-D was misleading; settlement reached
Industry regulator shelled out more than $300K in first quarter; entire financial industry spending big bucks bending ears
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
