 LPL's $7.5M e-mail fine just latest in Finra crackdown
- The record fine Finra meted out to LPL for failing to oversee its e-mail system ...
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Investors, beware: housing market still has cracks
- Investors should take note: the housing market still has its issues, notably ris...
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BNY Mellon ripe for wealth management expansion
- Thriving unit plans to add 100 workers to operation by end of 2014; largest staf...
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SEC Charges City of South Miami with Defrauding Investors About Tax-Exempt Status of Municipal Bonds
- FOR IMMEDIATE RELEASE
2013-91
Washington, D.C.,...
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Massachusetts reaches $9.6 mln REIT settlement with 5 broker-dealers
- The fines and restitution will settle what the state's top securities regulator ...
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Five IBDs in $9.6M settlement over nontraded REIT sales
- Ameriprise and four other IBDs agreed to pay fines and restitution in a deal wit...
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Regulatory watchdog FINRA to oversee Direct Edge's surveillance
- The agreement with Direct Edge allowing FINRA to look out for abusive trading on...
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U.S. prosecutors consider using racketeering law against SAC - source
- Authorities may use the RICO Act, most commonly associated with prosecutions aga...
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CFTC watchdog faults Gensler for recusal from MF Global probe
- The findings by the inspector general of the CFTC, Roy Lavik, were part of a bro...
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SEC charges South Miami with fraud over debt deals
- The city agreed to settle the fraud charges and retain an independent consultant...
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Accounting Firm Ordered to Pay $180,000 in Sanctions For Withholding Documents Relating to Seattle's 'Mini-Madoff'
- A federal judge ruled that an accounting firm should pay $180,000 in legal fe...
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$27 Million ATM Ponzi Scheme Results in Prison For California Brothers, Woman
- Two California brothers and a woman who lived with them were
SEC Won't Sue Big Lots Over Ex-CEO's $10M Stock Sale
- Discount retailer Big Lots Inc. said Tuesday that it wouldn't face an enforc...
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NetSpend Investors Can’t Block $1.4B Sale Over PE Favoritism
- A Delaware Chancery judge on Tuesday denied a bid by NetSpend Corp. shareholders...
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Advisers in storm-ravaged Oklahoma struggle to find clients, neighbors
- Advisers in storm-ravaged Oklahoma struggle to find clients and neighbors amid t...
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Mayer Brown Snags Real Estate Finance Pro From Dechert
- Mayer Brown LLP said Friday it had picked up a Dechert LLP attorney with experti...
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Investors Prevail Over Citigroup In ARS Market-Bust Arbitration
- Citigroup Global Markets Inc. must pay $1 million in damages to two Texas compan...
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Citing change at the firm, brother and sister team splits Morgan Stanley
- A brother and sister team with strong family ties to Salomon Smith Barney have l...
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NFP Directors Sued Over $1.3B Madison Dearborn Deal
- The directors and executives of brokerage services firm National Financial Partn...
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Thompson & Knight Dodges $2.5M Shareholder Fraud Appeal
- A Texas appeals court declined Tuesday to revive a $2.5 million suit against Tho...
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Dreier Investors Say Profits Weren't Part Of Ponzi Scheme
- Attorneys for two investors being sued for millions by Dreier LLP's Chapter ...
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EU Oil Price-Fixing Probe Could Rival Libor Scandal
- The European Commission's probe of alleged manipulation of crude oil benchma...
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Watchdog Report Faults CFTC Head's MF Global Recusal
- U.S. Commodity Futures Trading Commission Chairman Gary Gensler disregarded lega...
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Lion Capital Head Pleads Guilty To $1.3M Fraud Scheme
- The former operator of Lion Capital Management LLC pled guilty Tuesday to four f...
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Private Placement And Emails Snag FINRA CCO
- For the purpose of proposing a settlement of rule violations alleged by the Fina...
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LPL hit with largest Finra fine ever for e-mail case
- Finra on Tuesday slapped LPL with a $7.5M fine, its largest ever for an email-re...
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SAC's Martoma says U.S. impedes defense in fraud case
- Former SAC Capital Advisors portfolio manager Mathew Martoma said the government...
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Breakingviews: Bribery law bogeyman scares up new legal clients
- To hear some law firms tell it, the U.S. Foreign Corrupt Practices Act presents ...
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FINRA fines LPL Financial $9 mln for email violations
- LPL Financial LLC must pay a total of $9 million for significant email system fa...
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MF Global trustee liquidates broker's CME Group memberships
- Eighteen months after the brokerage collapsed, James Giddens sold a variety of m...
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