Andrew Cuomo

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  "Trust Doesn't Come and Go"

  By Kathleen McBride, AdvisorOne  |  September 8, 2009

  Once an advisor has that trusted relationship with a client, can the advisor "go back" to a non-fiduciary relationship?

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  Listen to Chuck

  By Knut A. Rostad  |  August 31, 2009

  When Chuck Schwab talks do people listen? They ought to--even when he is off base, as he was in an August 19 opinion piece, "Brokers Aren't Responsible for Bad Bets," in The Wall Street Journal.

• Insurance Update: Classroom or Courtroom?

  By Marlene Y. Satter, AdvisorOne  |  July 1, 2009

  After a series of high-profile actions in his position as New York's top insurance regulator--the most powerful regulator's post in the country, thanks to its...

• My Poor Rich Uncle: College Loan Company Bankrupt

  By Kara P. Stapleton  |  February 17, 2009

  The private loan company files Chapter 7

• ARS Deals Reached with Cuomo, Others

  By Janet Levaux, AdvisorOne  |  October 1, 2008

  Merrill Lynch, UBS, Wachovia, Citigroup, Morgan Stanley and other firms recently resolved a series of issues with New York Attorney General Andrew Cuomo and other...

• Merrill Reaches $4 Bn ARS Deal with New York (Aug. 22, 2008)

  By Janet Levaux, AdvisorOne  |  August 22, 2008

  Merrill Lynch says it has reached a global resolution with the New York attorney general and state securities regulators to resolve issues related to sales of auction-rate securities. The firm also re

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  Banks begin ARS buy-backs

  By Danielle Andrus, AdvisorOne  |  August 12, 2008

  As regulators investigate banks in the wake of the collapse of the auction rate security market in February, several have offered to buy back ARS...

• Three Financial Aid Directors Fired

  By Kara P. Stapleton  |  May 23, 2007

  On Monday, May 21, 2007, Columbia University released its financial aid director, David Charlow, after documents became available showing that he promoted a student loan company in which he held a financial stake. Charlow had sent letters to parents and alumni on three occasions praising the lender--Student Loan Xpress.

• New Courses for the College Conversation

  By Kara P. Stapleton  |  May 1, 2007

  We all know higher education is costly, but it turns out that there may be some hidden costs--and unintended and possibly illegal benefits going to...