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By Marlene Y. Satter, AdvisorOne |
May 24, 2012
Broker-dealer Cadaret, Grant fined; alleged $60 million Ponzi scheme busted; Morgan Stanley in hotseat.
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By Ronald Delegge, ETFguide.com |
May 24, 2012
"Send me a bill that bans insider trading by members of Congress and I will sign it tomorrow,” President Obama proclaimed in his State of the Union on Jan. 24, 2012.
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By Kenneth Silber |
May 24, 2012
This year’s congressional elections hold considerable potential to reshuffle power on Capitol Hill.
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By Gil Weinreich, AdvisorOne |
May 23, 2012
The Center for Plain Language honored good communicators with its ClearMark awards, but also extended its booby prize, the WonderMark award, for writing that could utterly confuse a reader.
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By Melanie Waddell, AdvisorOne |
May 23, 2012
FINRA brought a record number of enforcement cases in 2011—approximately 1,500—and is on pace to bring just as many cases in 2012.
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By Marlene Y. Satter, AdvisorOne |
May 22, 2012
Robert W. Kwok, formerly Yahoo’s senior director of business management, and Reema D. Shah, a former mutual fund manager at the Ameriprise Financial unit RiverSource Investments LLC, were charged Monday with insider trading and have agreed to settle the SEC’s charges.
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By Melanie Waddell, AdvisorOne |
May 22, 2012
FINRA announced Tuesday that it has fined Citigroup Global Markets $3.5 million for providing inaccurate mortgage performance information, supervisory failures and other violations related to mortgage-backed securities.
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By James J. Green, AdvisorOne |
May 22, 2012
The election, the Supreme Court ruling on Obama's health care law, and tax and deficit issues at year-end will keep markets volatile, attorney Andy Friedman says.
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By Melanie Waddell, AdvisorOne |
May 22, 2012
The House Financial Services Committee announced Wednesday that it will hold a hearing on June 6 on the redraft of Rep. Spencer Bachus’ bill calling for an SRO to oversee advisors.
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By John Sullivan, Advisorone |
May 22, 2012
Executives are “calling their bluff,” and the agency is struggling with a surge of companies willing to defend themselves.
