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Archived Latest Securities News Articles Page: 8
Fines fail to stop some broker bloopers
January 31, 2012 @ 10:21 am
   The risk of being fined, or even thrown out of the securities business, should be enough motivation for advisers to follow the industry's most basic rules....
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INsider: Wealthy clients have targets on their backs
January 31, 2012 @ 9:53 am
   The presidential campaign has failed to offer definitive answers about tax reform, but you can see where it's headed...
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FINRA Sanctions Brokerage CEO For Delegating To Part Time Compliance Officer and FINOP
January 31, 2012 @ 9:42 am
   For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”) and without admitting or denying the findings, prior to a regulatory hearing and without an adjudication of any issue, John Derek Lane submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. In the Mat...


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Citigroup unit to pay $500,000 in age bias case
January 31, 2012 @ 9:40 am
   A FINRA arbitration panel found that the bank violated Florida discrimination laws for its treatment of a 66-year-old branch manager....
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Stanford sought to influence regulator
January 31, 2012 @ 6:50 am
   Allen Stanford, charged with a $7 billion Ponzi scheme, sought to have a Antiguan regulator with oversight of his offshore bank dismissed after she rejected a number of the Texas financier's overtures to work together, she testified on Monday....
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Avon's former CFO leaves amid SEC probe
January 31, 2012 @ 6:44 am
   Cosmetics company Avon Products Inc said its former finance chief, linked to triggering a regulatory probe, has left the company....
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Symmetry Medical, execs settle SEC fraud charges
January 31, 2012 @ 6:39 am
   The settlement invokes Sarbanes-Oxley to claw back money paid to senior executives while a fraud was going on even if they who did not know it was occurring....
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EMPLOYMENT TUESDAY at BrokeAndBroker
January 31, 2012 @ 4:16 am
   Visit the BrokeAndBroker Employment Page...


...
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U.S. expands case against ex-Goldman director Gupta
January 31, 2012 @ 1:57 am
   An amended indictment widens the time period in which the ex-Goldman Sachs chief supposedly provided illegal tips to former Galleon Group hedge fund founder Raj Rajaratnam....
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Ally takes charge for expected foreclosure penalties
January 31, 2012 @ 1:02 am
   The auto lender saddled with bad subprime mortgage loans said it will post a loss in the fourth quarter due to expected penalties from a pending foreclosure settlement....
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BankAtlantic CEO Pins Blame For BB&T Deal On Regulators
January 30, 2012 @ 2:47 pm
   BankAtlantic Bancorp Inc.’s CEO defended the proposed sale of the bank’s prime assets to BB&T Corp. in a Delaware court Monday, saying the deal was the bank’s only option as a regulatory noose tightened around its operations....
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Seyfarth Shaw Adds Steptoe Litigator To LA Office
January 30, 2012 @ 2:00 pm
   Seyfarth Shaw LLP announced Monday that former Steptoe & Johnson LLP litigaor Frank Burke would bring his extensive experience in white collar crime defense and securities, real estate and transactional litigation to the firm's Los Angeles office....
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Senate Moves Forward On Congress Insider Trading Bill
January 30, 2012 @ 1:51 pm
   The U.S. Senate on Monday voted overwhelmingly to move forward on a bill that would bar members of Congress from trading on inside securities information gleaned from the legislative process....
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BlackRock: Munis face threat of 'super downgrade'
January 30, 2012 @ 1:37 pm
   Ratings cuts of two or more notches are expected to pick up over the summer as agencies review their methodologies...
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Senator to Citi: Enough already with the tax forms for frequent-flier miles
January 30, 2012 @ 1:32 pm
   Brown sends letter to Pandit telling bank to stop sending 1099s to customers who received miles for opening savings accounts; 'creating baseless fear'...
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