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By John Sullivan, Advisorone |
May 25, 2012
NASDAQ now counts 30 million improperly executed shares.
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By Melanie Waddell, AdvisorOne |
May 25, 2012
The SEC announced Friday that it brought charges against a New York-based fund manager and his two firms for luring investors into a trading program that would “purportedly maximize their profits but instead spent their money in unauthorized ways.”
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By Marlene Y. Satter, AdvisorOne |
May 24, 2012
Broker-dealer Cadaret, Grant fined; alleged $60 million Ponzi scheme targeted; Morgan Stanley in hotseat.
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By James J. Green, AdvisorOne |
May 24, 2012
In his coming-out as successor to Dick Averitt at Raymond James' independent contractor arm, Curtis says he would like to see better definition of an "FA-level" fiduciary standard.
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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 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 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 an Ameriprise Financial unit, were charged with insider trading.
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By Melanie Waddell, AdvisorOne |
May 22, 2012
FINRA announced Tuesday that it had fined Citigroup Global Markets $3.5 million for providing inaccurate mortgage performance information, supervisory failures and other violations related to mortgage-backed securities.
