 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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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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U.S. asks judge to deny S&P's motion to dismiss fraud lawsuit
- In a $5 bln suit, the U.S. government has accused S&P of issuing inflated rating...
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Q&A: Nicholas Gravante on Greenberg, Argentina and alleged forgeries
- Nicholas Gravante represents former AIG chief executive Hank Greenberg, AriZona ...
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U.S. prosecutors' subpoena of SAC's Cohen puzzles defense lawyers
- Several defense attorneys said the move to subpoena hedge fund chief Steven A. C...
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Treasury chief says foreign officials too critical on swaps rules
- Foreign countries potentially hurting delicate negotiations with U.S. regulators...
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Court studies wiretaps in ex-Goldman director's insider case
- Lawyers for Rajat Gupta sought to reverse his insider trading conviction, arguin...
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New normal is morphing, Pimco's El-Erian says
- The global economy is muddling along a road that will give way to one of three s...
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Strine Tells Wal-Mart To Dig Deeper For Mexican Bribery Docs
- Wal-Mart Stores Inc. must conduct a more detailed search for documents requested...
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Michaels Fights To Avoid Legal Fees In $550M Wyly Fraud
- A Texas state judge on Monday said Michaels Stores Inc. has the right to limited...
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SAC Indictment Would Put Feds In Uncharted Waters
- As rumors swirled Monday that prosecutors might indict Steven Cohen's SAC Ca...
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Duane Morris Adds Orrick Partner To NY Corporate Group
- Duane Morris LLP's New York corporate practice group is adding a new partner...
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High Court May Use SOX Case To Put DOL In Its Place
- The U.S. Supreme Court agreed Monday to hear its first-ever Sarbanes-Oxley Act w...
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Fighting Agencies May Be Tougher After High Court Ruling
- The U.S. Supreme Court's Monday ruling in favor of the Federal Communication...
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NAPFA names new chief executive officer
- Among the challenges facing new NAPFA CEO Geoffrey Brown is making the trade as...
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Backed-up SEC won't address mandatory arb any time soon
- Mandatory arbitration has been generating plenty of headlines lately, but SEC Co...
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Dallas Brokerage Fends Off RICO Claim For Trade Fees
- A Texas judge on Monday said two independent brokers at S&P Investors Inc. haven...
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Morgan Stanley sued in 'pay-to-play' retirement plan case
- The plaintiff, an Alabama medical laboratory, claims that Morgan Stanley steered...
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The Warriors In Us
- by Brian Mahany
Unless we suddenly find ourselves at war with Syria, I...
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Supreme Court agrees to hear Fidelity whistleblower case
- The bench will decide whether whether mutual fund employees are subject to the s...
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Wielding Harrisburg example, SEC cajoles cities nationwide
- The main goal of the SEC is to persuade thousands of cities, counties and other ...
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SAC Capital's Cohen gets subpoena to testify - NY Times
- The $15 bln fund recently told investors it would no longer cooperate "unconditi...
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Analysis: High speed trading a stiff challenge for U.S. regulators
- Financial trading in world markets has grown so fast that effective regulation i...
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A Family Affair In FINRA Discretion Settlement
- You might not think it would be a big deal for a registered person to handle the...
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EMPLOYMENT TUESDAY at BrokeAndBroker.com
- EMPLOYMENT TUESDAY AT BROKEANDBROKER.COMVisit the BrokeAndBroker Employment...
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Legislators must toughen N.Y.'s white-collar laws: DA Vance
- Manhattan's district attorney said state financial crime laws were hopelessly ou...
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