 Investment firms sue exchanges in dispute on improper fee charges
- The lawsuit said the exchanges had discovered last year that a prominent firm ha...
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U.S. Justice Dept tells lawmakers no bank is too big to jail
- An official insisted that no financial company is "immune from prosecution becau...
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China Agritech directors cannot escape investor lawsuit - judge
- China Agritech Inc directors lost a bid to escape a lawsuit by shareholders who ...
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Will Contests – What Works And What Doesn’t
- Recently we received several calls about will contests – that is what h...
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FINRA Attacks New Source Of Securities Fraud
- Securities fraud costs investors billions of dollars annually. Sometimes the ...
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Citadel Securities Says CBOE Overcharged Trading Fees
- The Chicago Board Options Exchange Inc. and four other exchanges were hit with a...
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Dems Back CFTC's Firmer Hand On Int'l Swaps Rules
- Six Democratic senators on Wednesday prodded the U.S. Commodity Futures Trading ...
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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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Midway Though Proxy Season, Staggered Boards Falling Hard
- Halfway through the 2013 proxy season, the staggered board — either a shie...
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UBS Ruling Allays Fear Factor For SEC Whistleblowers
- A New York federal court ruling Tuesday that keeps alive a UBS AG whistleblower&...
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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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FHFA Wants Banks To Handle Debt Instrument Credit Ratings
- The Federal Housing Finance Agency is set to publish a proposed rule that would ...
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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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DOJ Wants Loss Findings In UBS Bid-Rigging Case OK'd
- The U.S. Department of Justice urged a New York federal court Wednesday to ignor...
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South Miami Settles SEC Bond Fraud Charges
- The U.S. Securities and Exchange Commission said Wednesday that the city of Sout...
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Financial Services Co. Funneled Millions To Execs' Kin: Suit
- A venture capital firm filed a securities fraud lawsuit Monday in New York feder...
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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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Customers Complain That Edward Jones Didn't Stop In The Name Of Love
- The line in the song goes: Stop in the name of love before you break my heart. A...
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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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Deli Owner Bounces $82 Million In Checks
- You got your folks who dream. You got your folks who dream big. And then you got...
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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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