 Ex-LPL adviser charged with stealing $2M from clients
- LPL finds itself in the headlines for the third time this week as a former advis...
|
|
Large retailers sue Visa, MasterCard over card fees
- The lawsuit comes ahead of a deadline for the millions of merchants affected by ...
|
|
Proxy advisory firm settles SEC charges over data breach
- An employee of the prominent proxy advisory firm was accused of sharing nonpubli...
|
|
SEC charges former LPL adviser with $2 mln civil fraud
- Blake Richards is accused of promising clients he would put their money into inv...
|
|
SEC Charges Institutional Shareholder Services in Breach of Clients' Confidential Proxy Voting Information
- FOR IMMEDIATE RELEASE
2013-92
Washington, D.C.,...
|
|
Seizure Alert Dog Business Sham
- Rather than try and digest this disgusting bit of business, I prefer to present ...
|
|
Ally to pay $2.1 bln to settle ResCap litigation
- The deal is Ally's second attempt to reach a deal, which has been complicated by...
|
|
Investment firms sue exchanges in dispute on improper fee charges
- The lawsuit said the exchanges had discovered last year that a prominent firm ha...
|
|
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...
|
|
China Agritech directors cannot escape investor lawsuit - judge
- China Agritech Inc directors lost a bid to escape a lawsuit by shareholders who ...
|
|
The SEC's Holistic Approach To Cross-Border Swaps
- A potentially significant difference from the U.S. Commodity Futures Trading Com...
|
|
SAC lawyers met with prosecutors to argue against charges - sources
- A presentation by the hedge fund's attorneys did not impress federal prosecutors...
|
|
Goldman banker settles SEC 'pay-to-play' charges
- Neil Morrison agreed to pay $100,000 to settle charges for his role in a scheme ...
|
|
Will Contests – What Works And What Doesn’t
- Recently we received several calls about will contests – that is what h...
|
|
FINRA Attacks New Source Of Securities Fraud
- Securities fraud costs investors billions of dollars annually. Sometimes the ...
|
|
Citadel Securities Says CBOE Overcharged Trading Fees
- The Chicago Board Options Exchange Inc. and four other exchanges were hit with a...
|
|
Dems Back CFTC's Firmer Hand On Int'l Swaps Rules
- Six Democratic senators on Wednesday prodded the U.S. Commodity Futures Trading ...
|
|
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 ...
|
|
Midway Though Proxy Season, Staggered Boards Falling Hard
- Halfway through the 2013 proxy season, the staggered board — either a shie...
|
|
UBS Ruling Allays Fear Factor For SEC Whistleblowers
- A New York federal court ruling Tuesday that keeps alive a UBS AG whistleblower&...
|
|
Investors, beware: housing market still has cracks
- Investors should take note: the housing market still has its issues, notably ris...
|
|
BNY Mellon ripe for wealth management expansion
- Thriving unit plans to add 100 workers to operation by end of 2014; largest staf...
|
|
FHFA Wants Banks To Handle Debt Instrument Credit Ratings
- The Federal Housing Finance Agency is set to publish a proposed rule that would ...
|
|
SEC Charges City of South Miami with Defrauding Investors About Tax-Exempt Status of Municipal Bonds
- FOR IMMEDIATE RELEASE
2013-91
Washington, D.C.,...
|
|
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...
|
|
South Miami Settles SEC Bond Fraud Charges
- The U.S. Securities and Exchange Commission said Wednesday that the city of Sout...
|
|
Financial Services Co. Funneled Millions To Execs' Kin: Suit
- A venture capital firm filed a securities fraud lawsuit Monday in New York feder...
|
|
Bloomberg Fires Back At CFTC In Swap Rule Case
- Bloomberg LP again urged a Washington federal judge on Tuesday to halt the U.S. ...
|
|
Massachusetts reaches $9.6 mln REIT settlement with 5 broker-dealers
- The fines and restitution will settle what the state's top securities regulator ...
|
|
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...
|
