- FINRA Investor Education Foundation and NFL Player Join Forces To Protect Pro Football Players from Investment Fraud
- FINRA Tells Financial Firms to Heighten Supervision of Complex Products
- KBS Cap Markets Non-Traded REITs May Be Too Risky for Some Retail Investors
- SEC Charges First Resource Group LLC in Alleged Florida Penny Stock Boiler Room Scam
- Texas Securities Fraud: BNY Mellon Capital Markets LLC Settles Allegations of Rigged Bond Bidding for $1.3M
- Jury Trial Begins in Ponzi Scammer Allen Stanford’s Criminal Case
- Unsealed Documents in $54.4M FINRA Arbitration Case Reveal that Citigroup Did Not Disclose Municipal Bond Risks to Investors
- Citigroup Global Markets Settles for $725,000 FINRA Fine Over Failure to Disclose Conflicts of Interest
- TD Bank Ordered to Pay Texas-Based Coquina Investments $67M Over $1.2 Billion Ponzi Scheme
- $78M Insider Trading Scam: "Operation Perfect Hedge” Leads to Criminal Charges for Seven Financial Industry Professionals
- Ex-SEC Lawyer to Settle DOJ Charges Accusing Him of Inappropriately Representing Ponzi Fraudster Allen Stanford
- Securities Fraud Lawsuit Names NRP Financial Inc. in $150M Minnesota Ponzi Scam
- Despite Reports of Customer Satisfaction, Consumer Reports Uncovers Questionable Sales Practices at Certain Financial Firms
- Securities and Exchange Commission Charges Investment Adviser with Committing Securities Fraud on Linked In
- Texas Securities Fraud: SEC Charges Life Partners Holdings Inc. in Life Settlement Scam
- SEC Modifies Definition of Net Worth Standard for “Accredited Investors” with Final Rule
- Bank of New York Mellon To Pay $1.3M To Texas, New York, and Florida Over Auction-Rate Securities Trading Allegations
- Former-Chicago Bears Wide Receiver Willie Gault Sued by SEC for Securities Scam Involving the Alleged Inflation of Stock Prices
- Wells Fargo-Sponsored Survey Finds that Sense of Security About Retiring Doesn't Necessarily Come with Affluence
- SEC Sues SIPC Over R. Allen Stanford Ponzi Payouts
- Daniel "Rudy" Ruettiger Faces SEC Charges Over Pump-and-Dump Scam Involving Sports Drink Company
- Well Fargo Advisers to Pay $2 Million to Settle Claims that Broker Sold Unsuitable Reverse Convertible Securities to Seniors
- Three Investment Advisers Charged with Massachusetts Securities Fraud
- SEC Charges Father and Son with Utah Securities Fraud In Alleged $220M Ponzi Scam Over Purported Real Estate Investments
- Texas Securities Fraud Over Sale of Allegedly Bogus Annuities to Elderly Seniors
- $1.2 Billion of MF Global Inc.’s Clients Money Still Missing
- Colorado Securities Fraud: Universal Consulting Resources LLC and Owner Richard Dalton to Pay $15.8M to Settle SEC Lawsuit Over Ponzi Scam
- SEC’s Office of the Whistleblower Received 334 Tips During FY 2011
- Texas Securities Fraud: Unregistered Adviser Confesses to Selling Almost $400K in Promissory Notes and Investments Despite Cease and Desist Order
- Texas Securities Fraud: Raymond James Financial Services Pays Elderly Senior Investor About $1.8M Following Loss of Appeal
- Securities Claims Accusing Merrill Lynch of Concealing Its Auction-Rate Securities Practices Are Dismissed by Appeals Court
- LPL Financial Ordered to Pay $100K for Lack of Adequate Oversight that Resulted in Unsuitable Investments for Clients
- Citigroup’s $285M Settlement With the SEC Is Turned Down by Judge Rakoff
- MF Global Shortfall May Be More than $1.2B, Says Trustee
- Former Bernard L. Madoff Investment Securities LLC Employee Faces SEC Charges for Creating Fake Trades to Enable Ponzi Scam
- SEC Files Charges in $27M Washington DC Ponzi Scam
- Oppenheimer Funds Investors Can Proceed with Their Securities Fraud Lawsuit
- MF Global Holdings Clients Unable to Access Their Money Following Chapter 11 Bankruptcy
- AARP Offers Older Investors 5 Warning Signs for Avoiding the Next Major Ponzi Scam
- Hedge Fund Manager Raj Rajaratnam Ordered by SEC to Pay $92.8M Penalty for Insider Trading
- Former Texan and First Capital Savings and Loan To Pay $4.5M for Alleged Foreign Currency Ponzi Scheme
- SEC and DOJ Charge Two Florida Men With Free Riding Securities Scam
- Former Deloitte Tax LP Partner’s Wife Settles Insider Trading Charges for $1M
- Texas Securities Fraud: SEC Moves to Freeze Assets of Stewardship Fund LP
- Dblaine Capital, LLC Faces SEC Securities Fraud Charges
- FINRA Vows to Step Up Internal Compliance Procedures
- Long Island Rail Road Disability Fraud Leads to 11 People Charged
- Money Laundering Charges Filed Against of Houston Criminal Defense Lawyer Accused of Defrauding Defendants of Over $1M
- Boogie Investment Group Inc. Fails Because of Fraudulent Private Placements by Provident Royalties LLC and Medical Capital Holdings Inc.
- Ex-Goldman Sachs Director Rajat Gupta Pleads Not Guilty to Insider Trading Charges
- Citigroup Global Markets Inc. Sues Two Saudi Investors in an Attempt to Block Their FINRA Arbitration Claim Over $383M in Losses
- Ex-Lehman Brothers Holdings Chief Executive Defends Request that Insurance Fund Pay Legal Bills
- Dallas Mavericks Owner Mark Cuban's Allegations of Misconduct Against the SEC Enforcement Staff are Without Merit, Says Inspector General’s Report
- Galleon Group LLC Co-Founder Raj Rajaratnam Sentenced to 11 Years in Prison Over Insider Trading Scam
- Merrill Lynch Faces $1M FINRA Fine Over Texas Ponzi Scam by Former Registered Representative
- FINRA Cannot Enforce Disciplinary Actions Through the Courts, Says Federal Appeals Court
- SEC & DOJ File Charges Against San Francisco Investment Adviser For Alleged “Soft Dollar” Fraud
- Two Texas Men Sentenced For $100 Million Life Settlement Scam that Bilked Over 800 Investors
- Prospective Securities Class Action Lawsuit Accuses David Lerner Associates Inc. Accused of Recycling Investor Capital and Using a Credit Line to Meet Dividend Payout
- New Jersey Investment Adviser Who Pleaded Guilty to $11.5M Financial Fraud Gets 168-Month Prison Sentence
- EagleEye Asset Management LLC Sued by SEC and CFTC for Alleged Forex Trading Scam
- Measure Banning Insider Trading Gains Support of Congress Members
- UBS Trader Charged with Fraud Related to $2B Trading Loss
- Financial Scammers Are Now Using YouTube, Facebook, LinkedIn, Twitter, and Other Websites to Target Investors, Warns Texas Securities Commissioner
- Morgan Stanley Smith Barney Employee Fined and Suspended by FINRA Over Unauthorized Signatures
- Broker-Dealer Pacific West Securities Closes Shop
- Five Broker-Dealers Fined by FINRA Over Allegedly Misrepresenting Commissions as Fees to Clients
- FINRA Tells Congress It Is Ready to Act as SRO for Investment Advisors
- Man Allegedly Involved in Texas Securities Fraud Scam that Bilked Over 7,000 Deaf Investors of $3.45M is Charged by the SEC
- Claimant Not Only $100K Loses Securities Arbitration Case Against Citigroup Global Markets But Gets Stuck with Financial Firm’s $50K in Legal Bills
- Elder Investors Suffering From Alzheimer’s Make Perfect Targets for Securities Fraud
- “Investor’s Guide to Loss Recovery” Offers Key Information on How to Use Conflict Resolution to Get Your Assets Back
- Morgan Keegan & Company Ordered by FINRA to Pay $555,400 in Texas Securities Case Involving Morgan Keegan Proprietary Funds
- Wedbush Securities Ordered by FINRA to Pay $2.8M in Senior Financial Fraud Case Over Variable Annuities
- FDIC Objects to Bank of America’s Proposed $8.5B Settlement Over Mortgage-Backed Securities
- SEC Charges Filed in $22M Ponzi Scam that Targeted Florida Teachers and Retirees
- Texas Securities Fraud: FINRA Fines Bluechip Securities for Ex-Employee’s Alleged Churning of Public Customer Accounts
- Raymond James Settles Auction-Rate Securities Case with Indiana Securities Division for $31M
- Financial Industry Regulatory Authority Alerts Investors About Gold Stock Scams
- California Insider Trading Charges Filed by SEC Against Ex-Investment Fund Associate Accused of Making 3000% Profit on Marvel Call Options in Disney Acquisition
- Texas Securities Fraud: Ex-Triton Financial CEO Convicted of Ponzi Scam that Bilked Ex-Heisman Trophy Winner Ty Detmer, Other Former NFL Players, and Hundreds of Other Investors of of Millions
- 8/31/11 is Deadline for Opting Out of $100M Oppenheimer Mutual Funds Class Action Settlement
- Citigroup Global Markets Fined $500,000 by FINRA for Inadequate Supervision of Broker Accused of Bilking Sick and Elderly Investors
- CapWest Loses $940,000 Dallas Securities Case in FINRA Arbitration
- Investors Working with Incompetent Registered Investment Advisers Have Few Protections, Reports Bloomberg
- Stifel, Nicolaus & Co. and Former Executive Faces SEC Charges Over Sale of CDOs to Five Wisconsin School Districts
- Texas Securities Fraud: Insurance Agent Could Get 100 Years Behind Bars for Using Fraudulent Annuities to Bilk Elderly Seniors of Over $5M
- SEC’s Proxy Access Rule is Rejected by Appeals Court
- SEC’s Retroactive Approach to Its Proposed Reg D ‘Bad Actor’ Rule Draws Criticism From Law Firms
- Accused Texas Ponzi Scammer May Have Defrauded Investors of $2M
- Advisory Performance Fee Rule Limit Adjusted by the SEC
- Houston Securities Fraud: Ex-Citigroup Broker Accused of Stealing Millions from Wealthy Mexican Investors is Barred from FINRA
- Broker-Dealers are Making Reverse Convertible Sales That are Harming Investors, Says SEC
- $75K FINRA Arbitration Award Against Wells Fargo Advisors LLC For Defaming an Ex-Employee in Form U-5 is Confirmed by District Court
- Harvest Managers, Benchmark Asset Managers, and Investment Advisor to Pay $11.6 Million to Settle SEC Charges Over Allegedly Mishandled Client Funds
- Janney Montgomery Scott LLC to Pay $850K to Settle Securities Charges Over Alleged Failure to Prevent Inside Trading
- Ex-Morgan Stanley Trader’s $25k Settlement Over Alleged Concealment of Proprietary Trades is Inadequate, Says SEC Commissioner Aguilar
- Basketball Benefactor Accused of Texas Securities Fraud and Ponzi Scam that Targeted High-Profile Coaches Found Dead
- Holding Brokers to Investment Adviser Accountability Standards is a Bad Idea, Say Some Wall Street Executives
- Ex-UBS Financial Adviser Pleads Guilty to Defrauding Private Fund Investors
- GSA Expected to Take Over SEC Leasing System Following Flawed $551M Deal, Says Chairman Schapiro
- JPMorgan Chase to Pay $211M to Settle Charges It Rigged Municipal Bond Transaction Bidding Competitions
- Fisher Investments Inc. Ordered to Pay Retired Investor $376,075 Over Breach of Fiduciary Duty
- Former Texas Securities Regulator Says Self-Regulation of Securities Industry Does Not Work
- Most Investors Ignore Prospectus for Variable Annuities, Reports IRI
- $750,000 Arbitration Award Against Stone & Youngberg LLC Confirmed by District Court
- Morgan Keegan Settles Subprime Mortgage-Backed Securities Charges for $200M
- JP Morgan Chase Agrees to Pay $861M to Lehman Brothers Trustee
- Texas Securities Fraud: Planmember Securities Corp. Registered Representatives Accused of Improperly Selling Life Settlement Notes
- Mortgage-Backed Securities Lawsuit Against Bank of America’s Merrill Lynch Now a Class Action Case
- Bill Funding SEC at $1.185B for Fiscal Year 2012 Approved by House Committee
- “Poohster” Consultant Found Guilty of Insider Trading
- Texas Minister Pleads Guilty to Involvement in $7.2M “White Hat Guys” Securities Fraud that Bilked Thousands of Petro America Corporation Investors in the US and Canada
- Morgan Stanley, Barclays, and Merrill Lynch Lose ‘Hot News’ Misappropriation Case Against Theflyonthewall.com Inc. in Appeals Court
- Securities Fraud: Mutual Funds Investment Adviser Cannot Be Sued Over Misstatement in Prospectuses, Says US Supreme Court
- Texas Foreign Currency Trader and Developer of “Alpha One” Convicted of Securities Fraud
- Ex-Morgan Stanley Trader to Settle SEC Unauthorized Swaps Trading Claims for $150,000
- Houston Securities Arbitration: FINRA Panel Orders Penson Financial Services, Inc. to Pay Boushy North Investments, Ltd. $500,000
- SEC Approves Proposed FINRA Rule Change Subjecting Back Office Personnel of Broker-Dealers to Registration and Qualification Examination Requirements
- David Lerner & Associates Ignored Suitability of REITs When Recommending to Investors, Claims FINRA
- FINRA Wants Brokers Selling Regulation D Private Placements to Take Part in Tougher Due Diligence Process
- District Court in Texas Decides that Credit Suisse Securities Doesn’t Have to pay Additional $186,000 Arbitration Award to Luby’s Restaurant Over ARS
- District Court Wants to Know Why FINRA Arbitration Panel Denied Freecharm Ltd.’s Securities Fraud Claim Against One Atlas Financial Group LLC
- SEC and FINRA Alerts Retail Investors About Structured Notes with Principal Protection
- Muni Debt Reform: SEC to Proceed with Field Hearing in Alabama
- Winell Associates Inc., Maxi Partners GP, and Howard Winell Settle CTFC Charges Accusing Them of Misappropriating Funds and Unauthorized Trading of Over $5.2M
- Day Trader Pleads Guilty to Securities Fraud Charges Related to Insider Trading Scam
- SEC to Up Dollar Thresholds for When an Investment Adviser Can Charge Investors Performance Fees
- Texas Securities Commissioner's Emergency Cease and Decease Order Accuses Insignia Energy Group Inc. of Misleading Teachers
- Five Ex-Brooke Executive Settle SEC Fraud Charges Accusing Them of Concealing Financial Firm’s Deteriorating Finances
- Ambac Financial Group, Insurers, and Bank Underwriters to Pay $33M to Settle Securities Lawsuits Alleging Concealed Risks Related to its Bond-Insurance Business
- Texas-Based AIG’s Largest Private Shareholder Says US Will Likely Sell Its Shares in the Insurer At Lower Price than Expected
- Wells Fargo Advisors LLC Agrees to $1 Million FINRA Fine for Securities Charges Related to Mutual Fund Prospectus Delivery
- SEC ALJ Finds Several Brokers Liable for Unlawful Penny Stock Sales
- Commodity Options Fraud Charges by CFTC Prompts District Court to Freeze Assets and Records of 20/20 Trading Co. Inc. & 20/20 Precious Metals Inc.
- Whistleblower Lawsuit Claims Taxpayers Were Defrauded When Federal Government Bailed Out Houston-Based American International Group in 2008
- AG Edwards & Sons (Wells Fargo Advisors) to Settle Securities Charges it Sold Variable Annuities that Lacked Proper Documentation to Elderly Clients
- SEC is Finalizing Its Whistleblower Rules, Says Chairman Schapiro
- Texas Commodity Trading Advisor FIN FX LLC Now Subject to NFA Emergency Enforcement Action
- Ameriprise to Sell Securities America Even as it Finalizes Securities Settlement with Investors of Medical Capital Holdings and Provident Royalties Private Placements
- Morgan Keegan Ordered by FINRA to Pay RMK Fund Investors $881,000
- Citigroup Chair Says Bank's Crisis is Over
- Auction-Rate Securities Investigations by SEC and NY Attorney General Are Ongoing
- Investments Advisers Told to Look at Recent SEC Enforcement Actions When Preparing for Exams
- Texas Securities Fraud: FINRA Suspends Pinnacle Partners Over Failure to Comply with Temporary Cease and Desist Order Involving “Boiler Room” Operation
- SEC Charges Subprime Auto-Loan Provide Inofin Inc. with Securities Fraud
- FINRA Orders UBS Financial Services to Pay $8.25M for Misleading Investors About Security of Lehman Brothers Principal Protected Notes
- Citigroup Ordered by FINRA to Pay $54.1M to Two Investors Over Municipal Bond Fund Losses
- Texas Securities Fraud Lawsuit Against MetroPCS Communications is Dismissed
- No Need for New SRO Overseeing Investment Advisers, Says NASAA Official to Congress
- FINRA Will Customize Oversight to Investment Adviser Industry if Chosen as Its SRO
- Dow Corning Corp.’s $165M Securities Fraud Lawsuit Against Merrill Lynch & Co. Can Proceed, Says District Court Judge
- Texas Securities Fraud: SEC Charges Talk Radio “MoneyMan” Over Promissory Note Offerings
- Motion to Dismiss SEC Lawsuit Accusing Dallas Billionaire Brothers of $500,000 Securities Fraud Denied
- Number of Securities Class Action Settlements Reached in 2010 Hit Lowest Level in a Decade, Says Report
- Venezuelan Workers Fall Victim to Francisco Illarramendi's Ponzi Scam
- FINRA Panel Orders Wedbush Securities to Pay $233,000 in Securities Fraud Damages
- Prison Term for Broker Accused of Investment Fraud Affirmed by 7th Circuit Even Though Sentence Exceeds Guidelines
- Reductions to SEC’s Budget Will Cause Staff Furloughs, Says Schapiro
- FBI Arrests Texas Leader of Pump-and-Dump Scheme
- FINRA Chief Ketchum Says Securities Regulators Worried Whether Investors Betting on High-Yield Corporate Bonds Really Know What They Are Getting Into
- Dallas-Based Southwest Securities Settles for $500,000 FINRA Charges It Improperly Used Paid Consultants
- Morgan Keegan & Co. Inc. Must Pay $250K to Couple that Lost Investments in Hedge Fund with Ties to Bernard L. Madoff Investment Securities
- SEC Needs to Keep a Closer Eye on FINRA, Says Report
- FINRA Orders Charles Schwab to Pay $18M to Fair Fund for YieldPlus Investors
- Wall Street Targeting Older Investors With Structured Product Sales, Reports AARP
- Texas Congressmen Seek Answers from SEC Chairwoman Regarding Conflict of Interest Related to Madoff Debacle
- SROs Immune from Broker-Dealer’s Lawsuit Over Bylaw Changes Related to Creation of FINRA, Says Appeals Court
- Ameriprise Financial Inc. to Pay $27M to Settle Securities Lawsuits of Securities America Clients Bilked in Ponzi Scams
- Texas Securities Fraud: SEC Halts Alleged Ponzi Scheme in the Dallas-Fort Worth Area
- China-Based Hackers Broke into Morgan Stanley Network, Reports Bloomberg
- Ex-Wextrust Capital COO Pleads Guilty to Role in $255M Affinity Fraud Scam
- FINRA Fines Bank of America Corp.'s Merrill Lynch $500,000 Over Alleged Oversight Failures of 529 Plans
- Texas Securities Fraud: Three FINRA Cases Against Securities America Over Sale of Private Placements Halted
- Order to Freeze Assets in $53M Fund Fraud Allegedly Involving Michael Kenwood Asset Management LLC Obtained by SEC
- Ex-Gilford Securities Broker Indicted in International Stock Fraud Scam Involving Pump and Dump of Israeli and Chinese Securities
- Ex-Triton Financial CEO Accused of Using NFL Contacts to Commit $50M Texas Securities Fraud
- Money Market Fund Portfolio and “Shadow NAV" Information Now Available to the Public, Says SEC
- TD Ameritrade Inc. Settles SEC Securities Fraud Charges Over Reserve Yield Plus Fund Shares for $10M
- SEC Approves FINRA’s Proposal to Give Investors an All-Public Arbitration Panel Option
- AXA Rosenberg Entities Settle Securities Fraud Charges Over Computer Error Concealment for Over $240M
- SEC to Examine Muni Bond Market Issues During Hearings in Texas and Other States
- QA3 Financial Corp. Notifies Its Brokers It is Closing Its Doors
- Commodities Industry Fears being held to Regulatory Standards of Securities Industry
- Fontana Capital LLC Founder Violated Short-Selling Rule, Says SEC
- SEC Staff Wants an SRO to Oversee Investment Advisers
- Yet Another Securities Case Against a Financial Firm Alleged to Have Aided Enron in its Scams is Dismissed Without Liability in Texas!
- Guilty Plea for Financial Adviser Who Used UBS Tips in $1M Healthcare Insider Trading Scheme
- Do Brokers Owe a Fiduciary Duty to Clients?
- Even as Ponzi Schemers Serve Time Behind Bars, Investors Are Left Coping with Millions in Financial Losses
- Ex-Portfolio Managers to Pay $700K to Settle SEC Charges that They Defrauded the Tax Free Fund for Utah
- Texas Securities Act Control Person Claims against Merrill Lynch Pierce Fenner & Smith Inc. is Revived by Appeals Court
- CFTC Files Charges in Alleged California Ponzi Scam Involving the Fraudulent Solicitation of $14 million in Commodity Futures
- Schwab Settles for $119M SEC Charges It Allegedly Misled YieldPlus Fund Investors
- Broker Settles SEC Charges He Defrauded Elderly Nuns
- R. Allen Stanford’s Criminal Trial Over $7 Billion Ponzi Scam Delayed So He Can Detoxify from Medication Addiction
- Morgan Stanley Failed to Disclose Financial Adviser’s Felony Charge to FINRA, Claims Car Accident Victim’s Attorney
- ALJ to Determine Whether to Revoke Registration of STS-Advisors Ltd. and Investment Adviser Representative Richard Lewis Bruce Over Alleged Texas Securities Fraud
- Securities America Inc. to Pay $1.2M in Compensatory and Punitive Damages Over Allegedly Fraudulent Medical Capital Notes
- UBS to Pay $2.2M to CNA Financial Head for Lehman Brothers Structured Product Losses
- Financial Services Institute Wants FINRA to Serve as SRO for RIAs
- Claims over failed tax-avoidance scheme brought under Texas Securities and Federal Racketeering Laws Against Prominent Law Firm is Dismissed by Fifth Circuit
- Wall Street and its Friends in Washington Want Congress to “Crawfish” on Financial Industry Regulatory Reforms
- Bank of America and Countrywide Financial Sued by Allstate over $700M in Bad Mortgaged-Backed Securities
- Ex-Financial Adviser Pleads Guilty to Unauthorized Trading Involving Disabled Children’s Assets
- US Supreme Court Declines to Review Finding that Investor is Bound to Arbitration Agreement Over Disputes with Questar Capital Corp.
- Houston Man Indicted in Alleged $17M Texas Securities Fraud
- Oppenheimer & Co. Ordered to Reveal Documents Related to Employee Dispute
- Analyst’s downgrade tanks Skechers’ stock (SKX). Should Wall Street analysts be immune from scrutiny?
- SEC Charges Two Ex-Wachovia Brokers Over Alleged $8 Million Elder Financial Fraud
- Why Whistleblowers Should Act Quickly and Consult Competent Legal Counsel
- A Texan is Among Those Arrested in Insider Trading Crackdown Involving Apple Inc., Dell, and Advanced Micro Devices' Confidential Data
- Securities Fraud Lawsuit Seeks to Recover $49M From 96 Independent Broker-Dealers Liable Over Sales of Tenant-In-Common Exchanges
- Ex-Smith Barney Adviser Pleads Guilty to Securities Fraud In $3.25M Scam to Bilk Citibank and Firm Clients
- SEC Report Applauds Internal Reforms While Admitting to Control Problems
- The “New” SEC is Acting Just Like The “Old” SEC by Protecting the Securities Industry from Responsibility for its Actions
- Texas Lawyer Pleads Guilty to Involvement in Alleged $100M Life Settlement Scheme
- Class Members of Charles Schwab Corporation Securities Litigation Can Still Opt Out to File Individual Securities Claim
- Federal and State Securities Acts’ Anti-Waiver Provisions Did Not Bar International Forum Selection Clause’s Enforcement, Says Texas Court of Appeals
- Citigroup Seeking to Dismiss $11.6 Million Securities Arbitration Award to “Dallas” TV Star Larry Hagman
- Compliance with 1934 Securities Exchange Act Reporting Requirements During Annual Broker-Dealer Audits is Key, Say SEC Officials
- Fiduciary Standard in Securities Industry Doesn't Need New Definition
- 3 Hedge Funds Raided by FBI in Insider Trading Case
- Texas Securities Fraud: National Futures Association Takes Emergency Enforcement Action Against International Commodity Advisors and Its Principals
- Non-Customers of Wachovia Cannot Bring Stock Loan Related Claim to FINRA, Says Court
- LPL Financial Management and Private Equity Backers TPG and Hellman & Friedman Could Make Over $450M from IPO
- Business Man Pleads Guilty Plea in Florida Microcap Market Fraud Case
- Multimillion Texas Stock Sale Fraud Results in Multiple Indictments
- Goldman Sachs Ordered by FINRA to Pay $650K Fine For Not Disclosing that Broker Responsible for CDO ABACUS 2007-ACI Was Target of SEC Investigation
- Investment Manager Accused of Securities Fraud Must Pay Defrauded Clients Over $20 Million
- “Flash Crash” – Why is This So Hard to Understand?
- Texas Securities Fraud: M25 Investments Inc., M37 Investments LLC, and Two Individuals Must Pay $16.2M Over Alleged Forex and Ponzi Scams
- Investment Adviser Southridge Capital Management and Its Hedge Fund Manager Face SEC Securities Fraud Charges for Allegedly Overvaluing Portfolio Assets
- San Diego Officials Settle SEC Municipal Bond Charges for $80,000
- Texas Securities Fraud: Man Admits to $1.7 Million Investment Scam Involving Therapeutic Horseshoes
- Ex-Employee Accuses Bank of America of Securities Fraud Involving Complex Derivatives Products
- Imperia Invest IBC’s Assets are Frozen Following SEC Allegations of British Viatical Settlements Scam That Targeted Deaf Investors
- Morgan Stanley’s Motion to Bar Ex-Hedge Fund Promoter Conrad Seghers from Pursuing FINRA Arbitration in Texas Securities Case is Granted by District Court
- NASAA Recommends Best Practices After Finding Brokers Deficient in Five Areas
- Citigroup’s $75 Million Securities Fraud Settlement with the SEC Over Subprime Mortgage Debt Approved by Judge
- RBC Wealth Management Unit Ferris Baker Watts to Pay Investors Restitution Over Reverse Convertible Notes Allegations, Says FINRA
- BP Oil Spill Payouts Recipients May Be Targeted by Investment Scam Fraudsters, Says SEC
- CFTC Judge Says Colleague Biased Against Investors with Complaints
- Valentine Capital Asset Management Settles SEC Securities Fraud Charges for $470,000
- SEC Charges Investment Adviser With Allegedly Making Unsuitable Hedge Fund Recommendations to Elderly Clients
- Most Investors Want Fiduciary Standard for Investment Advisers and Broker-Dealers, Say Trade Groups to SEC
- Broker-Dealers Press Clients to Settle Arbitration Claims, Says Illinois Securities Regulator
- Lincoln Financial Advisors Corp. Ordered by FINRA to Pay $4.43M Over Alleged “Selling Away” Scheme to Investors
- FINRA Wants to Make All-Public Arbitration Panel for Investors Permanent
- Morgan Keegan to Pay $9.2M to Investors in Texas Securities Fraud Case Involving Risky Bond Funds
- $2.6M Texas Securities Fraud Settlement: Hedge Fund Adviser Settles SEC Allegations Involving Violations Related to Improper Public Stock Offering Participation After Short Selling
- Ex-Ferris, Baker Watts, Inc. General Counsel Did Not Fail to Properly Supervise Broker Fraudster, Says SEC Judge
- Wall Street Knew 28% of the Loans Behind Mortgage Backed Securities (MBS) Failed to Meet Basic Underwriting Standards
- SEC Examining Whether Investment Advisers of Alternative Investment Funds Have Sufficient Due Diligence Processes in Place
- Class Auction-Rate Securities Lawsuit Against Raymond James Financial Survives Dismissal
- Increase of Structured Notes with Derivatives Sales Seduces Retirees, Reports Bloomberg
- 10th Circuit Issues Split Decision on Fees to Gemstar-TV Guide International Inc.
- Plan by FINRA and CHX to Re-Allocate Regulatory Tasks Approved by SEC
- Broker-Dealer Can Be Held Liable as Control Person if Ponzi Scammer is a Registered Representative, Says Eight Circuit
- Securities Fraud Lawsuit Against Calamos Investments Filed on Behalf of Calamos Convertible Opportunities and Income Fund Shareholders
- Former DHB Industries CEO and COO Found Guilty of Nearly $200M Securities Fraud Scam
- Whistleblower Sues Moody’s Investors Service for Defamation
- Goldman Sachs Permanently Exempted from Company Act Disqualification Provision, Says SEC
- Three Houston Men Accused of $103 Million Texas Securities Fraud Involving Life Insurance Scam that Victimized at Least 800 Investors
- Morgan Stanley, UBS, Wells Fargo, and Merrill Lynch Recruit Other Investment Firms’ Brokers
- Charles Schwab & Co. Defendant in Class-Action Securities Fraud Lawsuit Filed on Behalf of Schwab Total Bond Market Fund Investors Over CMOs and Mortgage-Backed Securities
- Raymond James Loses Texas Auction Rate Securities Case and is Ordered by FINRA to Pay Couple $925K
- Former Bank of America CEO Denies Allegations of Securities Fraud During Merrill Lynch Acquisition
- Zions Direct Inc. to Pay $225K for FINRA Securities Fraud Charges Related to CD Auctions
- Combatting Elder Financial Fraud: SEC, NASAA, & FINRA Update Their Best Practices to Protect Senior Investors
- Investors File Texas Securities Fraud Lawsuit Against Ernst & Young
- HSBC Securities to Pay $375K to Settle FINRA Allegations that It Recommended Unsuitable Collateralized Mortgage Obligations to Retail Clients
- John Gardner Black Responds to Stories Recently Published Concerning His Role in an SEC Securities Fraud Action.
- Investors Seek Recovery of Losses in Oppenheimer Champion Income Fund, Oppenheimer Rochester National Municipal Bond Fund and Nuveen High Yield Municipal Bond Fund
- Bank of America Merrill Lynch to Settle UIT Sales-Related FINRA Charges for $2.5 Million
- Investment Fraud Victims of John Gardner Black May Be Due Tax Refunds
- Texas Securities Fraud Incidents on the Rise, Say State Officials
- Oppenheimer Champion Income Fund Resulted In Significant Financial Losses for Investors from Citigroup, UBS, Merrill Lynch, and Other Large Financial Firms
- Structured Notes Becoming New “Investment Bubble” on Wall Street, says Institutional Risk Analytics Director
- UBS Ordered to Pay Auction-Rate Securities Investor Kajeet Inc. $81 Million
- CIT Group Inc, Prudential Financial Inc., and GMAC Inc. Looked to Retirees for Debt Financing When They Lost Access to Credit Markets
- Life Settlements or Viaticals should be Considered “Securities,” Recommends the SEC to Congress
- Citigroup Settles Subprime Mortgage Securities Fraud Claims for $75 Million
- Dallas Billionaire Brothers Charged with Texas Securities Fraud
- Goldman Sachs Settles SEC Subprime Mortgage-CDO Related Charges for $550 Million
- Wall Street Whistleblowers May Be Eligible to Collect 10 – 30% of Money that the Government Recovers
- Raymond James Ordered to Buy Back $2.5M in ARS by FINRA
- Motion for Class Certification in Lawsuit Against J.P. Morgan Securities Inc. Over Alleged Market Manipulation Scam Granted in Part by Court
- Securities Class Action Against Morgan Stanley by Xerox and Kodak Retirees Dismissed by Appeals Court
- SEC Settles Wrongful Termination Lawsuit with Whistleblower Gary Aguirre for $755,000
- Goldman Sachs COO Says Investment Firm Shorted 1% of CDOs Mortgage Bonds But Didn’t Bet Against Clients
- Morgan Stanley Settles Massachusetts Lending Case for $102 Million
- Refusal to Grant Prevailing Party of Securities Fraud Case Attorneys’ Fees and Costs is Affirmed by Appeals Court
- France and Germany Press EU to Ban Naked Short Selling of Stocks and Limit Credit Default Swaps
- Court Orders Southridge Partners Limited Partnership Dispute to Arbitration
- Texas Securities Fraud Alleged in SEC Lawsuit Against Former Advanced Materials Group Inc. CFO
- No Criminal Cases Yet Against Wall Street Banks Despite Obama Administration’s Vow To Go After Those Responsible for Financial Crisis
- Texas Attorney General Candidate Barbara Ann Radnofsky Says State Should File Securities Fraud Lawsuit Against Wall Street Firms
- Freddie Mac and Fannie May Drop After They Delist Their Shares from New York Stock Exchange
- As BP Oil Spill Reaches Crisis Mode, A Number of Wall Street Analysts Placed “Buy” Rating On the Company’s Plunging Shares
- LPL Investment Holdings, Inc. IPO Registration Gives Evidence of Disparities Between Wirehouse Broker-Dealers and Independent Brokerage Firms
- FINRA Suspends License of Dallas Broker-Dealer Linked to Failed Medical Capital Notes
- House and Senate Negotiators Can’t Seem to Agree on Fiduciary Standard in Financial Regulatory Reform Bill
- Lehman Brothers Lawsuit Claims Its Bankruptcy Was In Part Due to JP Morgan Chase’s Seizure of $8.6 Billion in Cash Reserves
- SEC Inquiring About Wisconsin School Districts Failed $200 Million CDO Investments Made Through Stifel Nicolaus and Royal Bank of Canada Subsidiaries
- J.P.Morgan Securities Ltd. Ordered by UK’s Financial Services Authority to Pay $48.7 M for Breaching Client Money Rules
- FINRA Fines Piper Jaffray $700,000 for E-mail Retention Issues and Other Violations
- Alleged $800,000 Affinity Fraud Scheme Prompts SEC to Sue GTF Enterprises and Its Money Manager
- Wells Fargo to Pay $30M in Compensatory Damages to Four Nonprofits for Securities Fraud
- Texas Securities Fraud Charges Filed Against Wadell & Reed and Brookstreet Securities Broker-Dealers Over Microcap Stock Scheme
- Citigroup to Pay $1.5 M for Supervisory Violations Related to Broker’s Handling of Trust Funds
- Republican Senator Seeks to Water Down Fiduciary Standards in Pending Investor Rights Bill and Exempt Insurance Companies from Liability
- Leahy Amendment Would Provide Whistleblower Protection While Holding SEC and CFTC Accountable If They Don’t Follow Up on Tips
- Deutsche Bank Securities & National Financial Services Fined $925,000 for Regulation SHO Short Sale Restrictions & Supervisory Violations
- JP Morgan Chase & Co. Accused of Securities Violations Involving Guaranteed Investment Contracts and Derivatives
- State of Connecticut Retirement and Trust Funds to Get Back $795,000 Lost in Securities Fraud Carried by Former Connecticut State Senate Fresident
- SEC’s Division of Investment Management to Make 12b-1 Fee and Form ADV Recommendations Soon
- Private Equity Firm Onyx Capital Advisors LLC Charged with Securities Fraud by SEC
- Supreme Court Nominee Elana Kagan Took Investors Side on Two Significant Securities Cases
- New Braunfels Firm Accused of Texas Securities Fraud In Sales of Viatical (Insurance) Investments
- SEC’s Handling of Credit Rating Agencies Oversight and Failure to Detect Madoff and Stanford Ponzi Scams Questioned at Senate Appropriations Financial Services Subcommittee
- RBC Capital Markets, Olympus Securities, and Three Other Broker-Dealers Settle FINRA Accusations of Selling “Unregistered” Penny Stock
- Goldman Sachs Fined $450,000 by NYSE Regulation for Short Sale Rule Violations. Are they being persecuted?
- Broker Settles Texas Securities Fraud Charges by SEC that She Misappropriated Customers’ Money
- Ranking Broker-Dealers According to Highest Average AUM Per Rep
- Texas Securities Fraud: Commodity Futures & Options Service, Inc. is Permanently Barred from the NFA
- Stifel Reports 80% Earnings Increase During 1st Quarter Even After Disengaging From Broker Recruiting Wars
- $1 Billion Goldman Sachs Synthetic CDO Debacle a Reminder that Even Highly Sophisticated Investors Can Be Defrauded
- UBS Agrees to Settle HealthSouth Corp Accounting Fraud Litigation for $217 M
- Extend Fiduciary Duty to All Financial Intermediaries, Securities and Exchange Commissioner Luis Aguilar Tells Congress
- Schwab Must Pay SSEK Client $604,094 Over California Yield Plus Fund Investments, Says FINRA Arbitration Panel
- National Securities Corp., Independent Financial Group LLC, & Centaurus Financial Inc. among broker-dealers sought by Massachusetts securities regulators over private placements
- The Truth about the Financial Reform Bill Proposed by the Majority Leaders
- Former Delphi Executive’s Motion for Summary Judgment in SEC Securities Fraud Case is Denied
- Linsco Private Ledger Clients File FINRA Arbitration Claims Accusing Former Financial Adviser Raymond Londo of Running Multi-Million Dollar Ponzi Scam
- Stockbroker Fraud?: Extent of Main Street Natural Gas Bonds’ Tie to Lehman Brothers May Not Have Been Disclosed to Investors
- Morgan Keegan & Co., Inc., Morgan Asset Management, and Two Employees Face Subprime Mortgage Securities Fraud Charges by SEC
- US Supreme Court Won’t Review Texas Securities Fraud Case of Investment Adviser Barred from Industry by SEC
- Credit Suisse Group AG Must Pay ST Microelectronics NV $431 Million Auction-Rate Securities Arbitration Award
- Texas Securities Fraud: SEC Sues Two Individuals For Allegedly Running Multi-Million Dollar Scheme Involving Viaticals
- UBS, JP Morgan, Lehman, Bank of America, and Other Banks Included on List of Co-Conspirators in CDR Bid-Rigging Scam
- Most Bloomberg National Poll Participants Think the US Government Should Punish Bankers that Caused Recent Market Collapse
- More on YieldPlus Mutual Fund: Charles Schwab Corp. Tries to Dissuade SEC From Filing Securities Claims
- Senate Bill 1551 Allows Securities Fraud Lawsuits Against Those Accused of Aiding and Abetting Primary Violators
- Claims for Losses at Lehman Brothers and in Investments into Lehman Brothers Financial Instruments Gain New Life as Court Uncovers Stunning New Evidence
- LC Wegard Clients that Purchased Relevant Securities May Be Entitled to Distribution from Litigation Estate
- Five Years Later Ex- Knight Securities Supervisors are Exonerated? Just Call it “Par for the Course.”
- Protect Yourself from Texas Securities Fraud by Making Sure that the Company or Agent that Sells You Annuities Has a Valid Insurance License
- Stifel, Nicolaus, and Co. to Pay Back $78,000 to Missouri Investors for Broker Fraud
- "America's Prophet" Psychic Accused of Multimillion-Dollar Investment Fraud
- Securities Fraud Law Firm Shepherd Smith Edwards & Kantas LTD LLP Warns Investors Against Affinity Fraud
- Oppenheimer Holdings Inc. Settles Massachusetts Auction-Rate Securities Allegations
- Citigroup Ordered to Defend Against Securities Fraud Allegations by Terra Securities of Norway and Several Norwegian Municipalities
- SEC Says It Has Jurisdiction to Go After Ex-JP Morgan Executives For Securities Fraud
- Court Reinstates Texas Securities Arbitration Award
- Ex-UBS AG Executive to Settle ARS Insider Trading Allegations Made by NY Attorney General Cuomo with $2.75 Million Penalty
- Morgan Keegan Ordered by FINRA Panel to Pay Investor $2.5 Million for Bond Fund Losses
- Frontline Advisors LLC and Frontline Financial, Inc. Propose Texas Securities Fraud Settlement that Includes Permanent NFA Bar
- H & R Block Financial Adviser Claims: Securities Fraud Law Firm Shepherd Smith Edwards & Kantas LTD LLP Investigating Inadequately Supervised Reverse Convertible Notes for Investors
- FINRA Fines H & R Block Financial Advisors (Now Ameriprise Advisor Services) over Sales of Reverse Convertible Notes (RCN)
- Bank of America To Settle SEC Charges Regarding Merrill Lynch Acquisition Proxy-Related Disclosures for $150 Million
- Former Chelsey Capital Hedge Fund Manager Accused of Using Insider Tips From Former UBS Executive Pleads Guilty to Illegal Trading
- Dallas Securities Attorney and Former SEC Litigator Convicted of Fraud in Pump and Dump Stock Scam
- FINRA to Assess Amerivet Securities Inc. Allegations that Certain SRO Executives Received Excessive Pay in 2008
- Claims Filed Against Morgan Keegan Division of Regions Financial Causes Shortage of Arbitrators
- Former JPMorgan Bankers Sued by SEC Over Swap Transactions Want Judge to Dismiss Securities Fraud Charges
- Securities Claims Over Morgan Stanley Mutual Funds Dismissed by Appeals Court
- SEC Warns that Disclosure of a “Possible Risk” is Misleading When the Event has Already Occurred
- Texas Class Action Securities Fraud Claim Against Cushing MLP Total Return Fund CEO and CFO Can Go Forward, Says District Court Judge
- SEC is working on issues related to asset-backed securities, credit ratings, and money market mutual funds, says Schapiro
- Judge Gives Lower Sentence to Former Credit Suisse Broker Convicted of Auction-Rate Securities Fraud
- Troubled GunnAllen Securities to be Acquired by Progressive Asset Management as Lawyers for Investors Investigate the Sale.
- Former Evergreen Investment Adviser Settles SEC Insider Trading Charges Involving Ultra Short Opportunities Fund
- Former Southwest Securities Broker’s Lifetime Industry Bar for Texas Securities Fraud is Affirmed, Says Appeals Court
- Securities Class Actions are No Longer the Fad as Investors Hire Their Own Attorney to Recover Far More!
- Court Stops Results One Financial LLC Adviser’s Alleged Investment Fraud Scam
- SEC Cannot Order Former Rauscher Pierce Broker to Compensate Investors for Losses, Says Court
- Dismissal of Lone Star’s $60 Mortgage-Backed Securities Texas Fraud Action Against Barclays is Affirmed by Federal Appeals Court
- For Role in $2.4 Billion Refco Investor Fraud Scheme, Former Mayer Brown Partner Receives 7-Year Prison Sentence
- Number of FINRA Arbitration Claims Rose in 2009 Following Market Crisis
- Schwab YieldPlus and Morgan Keegan RMK Funds Among Worst Mutual Fund Disasters of the Last Decade, According to US News & World Report
- SunTrust Robinson Humphrey Ordered to Pay $4.1 Million to Former Institutional Salesperson for Alleged Defamation and Wrongful Termination
- Investors of Robert Bentley Ponzi Scam Suffer Setback as Court Overturns $32.7 Million Verdict Against Brokerage Firm and Investment Bank
- Number of Ponzi Scam Collapses Increased Significantly Last Year
- Goldman Sachs Executives Sued by Pension Fund Over Bonuses
- Judge Rejects ‘Fat Cat’ JPMorgan Chase’s $9,122 Bill for Producing Subpoenaed Documents
- SEC Accuses Austin Advisor, Triton Financial, and Triton Insurance of Texas Securities Fraud Scam Involving Former NFL Football Players
- Texas Securities Fraud: SEC Freezes Assets of Fourth Person Involved in Alleged $485 Million Ponzi Scheme
- New Judge in Securities Fraud Case Involving Former Brokers Previously Affiliated with Capital Growth Financial, Wachovia Securities, and VSR Financial Services
- Merrill Lynch Must Pay $26 million to States to Resolve Charges of Failure to License Associates
- Attention Schwab Yield Plus Investors: Deadline for Opting Out of Class Action So You Can File Your Own FINRA Arbitration Claim is December 28
- Credit Suisse to Pay $536 Million Settlement For Violating US Sanctions With Secret Transactions from Iran, Libya, Cuba, Burma, and Sedan
- Citigroup, J.P Morgan Chase, Morgan Stanley and Other Firms Added to Investigation of Goldman Sachs over "Front-Running" of Research
- Securities Fraud: Broker Sentenced for Selling High-Risk Short Term Funds to Four Pennsylvania School Districts
- Lehman Brothers Sues Barclays for Billions Over Windfall Profit From Asset Sale Transaction
- Edward Jones and Merrill Lynch Brokers Like Where They Work, While UBS Representatives are the Least Happy
- UBS Loses Lehman Arbitration Note Claim by Small Investor
- Even as FINRA Lost $696.3 Million in 2008, its Executives Made Millions
- Texas Securities Commissioner Not Convinced SEC Has Reformed Itself Since Madoff Ponzi Scam
- SEC Submits Amended Complaint Against Bank of America Over Merrill Lynch Merger and Executive Bonuses
- The Investor Protection Act is Approved by House Financial Services Committee
- Braintree Appeals to Keep Auction-Rate Securities Lawsuit Against Citigroup in Court
- FINRA Bars Former Piper Jaffray & Co. Broker from Industry for Insider Trading
- Fighting Senior Investment Fraud: Panel Calls for SEC, Labor Department, and Treasury Department to Work Together
- Number of Securities Lawsuits Increased During 3rd Quarter
- Obama Administration Supports Investors' Securities Fraud Lawsuits Against Merck
- JP Morgan Chase to Pay $75 Million in Penalties and Forfeit $647 Million to Settle SEC Charges Over Alleged Municipal Bond Payment Scam
- Stifel Financial Corp. Sees 73% 3rd Quarter Earnings Rise and Completes Purchase of 56 UBS Financial Services Inc. Branches
- Securities America & Ameriprise Financial Inc. Sued For Selling Allegedly Faulty Private Settlements
- SEC to Continue Fight Against Senior Investment Fraud in 2010
- Stifel, Nicolaus & Co. and AXA Advisors Broker Charged in Ponzi Scheme Victimizing Church Members
- CIT Group Bankruptcy Exposes Fraud Against Many Investors Who Were Sold Preferred Stocks And Bonds
- SEC to Probe Whether Former Ferris, Baker Watts Inc. General Counsel Failed to Properly Supervise Broker Convicted of Securities Fraud
- Scottrade Fined $600,000 by FINRA for Inadequate Anti-Money Laundering Program
- Citigroup, AK Capital, National Financial Services, and Tradestation Fined and Censured by NYSER Over Trade Violations
- Morgan Keegan Again Ordered by Arbitrators to Pay Bond Fund Losses to Investors
- JP Morgan to Repurchase $480 Million in ARS from Michigan Investors
- Two Dresdner Kleinwort Traders Censured for Market Abuse by UK’s FSA
- Elder Securities Fraud: FINRA Bars Former Broker From Industry
- Market Timing Violations Against AG Edwards & Sons Inc. Supervisors and Broker Upheld by the SEC
- Ex-Enron Broadband CEO Goes to Prison for Texas Securities Fraud
- SEC Warns Charles Schwab Corp. of Possible Civil Charges Over Two Bond Funds
- Notice: Schwab YieldPlus Investors Must Act Quickly To File Independent Claims For Losses
- Citigroup ordered to pay $600,000 FINRA fine for inadequate supervision that may have allowed foreign clients to avoid paying taxes on dividends
- NASAA Releases Investment Adviser Best Practices To Improve Compliance
- SEC Office of Administrative Services' Office of Acquisitions Has Shortfalls that Could Impede Operation, Says Audit
- Make Credit Rating Agencies Collectively Liable for Inaccuracies, Proposes Lawmaker
- Former Merrill Lynch Employee, Guilty of $1.4 Million Texas Securities Fraud Scheme, Receives Prison Term
- Colorado Sues Stifel, Nicolaus for Misrepresenting Auction-Rate Securities to Investors
- Indiana Accuses Stifel Nicolaus & Co. of Auction Rate Securities Fraud
- Texas Securities Fraud: Investment Firm Employee Accused of Making $8.6 Million from Dell Insider Trading
- UBS Securities, Citigroup Global Markets, and Deutsche Bank Securities Agree to FINRA Sanction Over Vonage IPO
- Securitization of Life Insurance Settlements Might Lead to Next Financial Crisis, Say Lawmakers
- Regions Bank Settles SEC Charges Over Latin American Investment Fraud Scam
- Bank of America’s Merrill Lynch unit agrees to $26.5 million national settlement stemming from Texas securities fraud claim
- Former Stifel Nicolaus and AG Edwards Stockbroker Sentenced to 21-Months in Prison for Investment Fraud Scam
- Securities Fraud Lawsuit Against UBS AG Gets Added Steam with Employee Email Calling Collateralized Debt Obligations “Vomit”
- Morgan Keegan Hit with Large Penalty for Fouling Ex-NBA Star
- Texas Securities Commissioner, Appointed New President of Nationwide Association of Regulators, Seeks Additional Investigations into Wall Street Fraud
- SEC Warns Broker-Dealers to be Mindful of Their Recruiting Bonuses
- $150 Million Settlement in Merrill Lynch Securities Class Action Lawsuit is Granted Preliminary Approval by District Court Judge
- Citigroup Global Markets Sales Assistant Accused of Stealing from Clients is Banned by FINRA from the Securities Industry
- SEC, NASD, FINRA & SIPC: New SEC Report Card on Madoff Catastrophy Further Reveals How Investor Protection Is Severely Flawed!
- Disgruntled Investors Continue to File Securities Fraud Litigation Against Merrill Lynch Even Eight Months After Its Acquisition by Bank of America Corp.
- In Investment fraud Lawsuit Against Lehman Brothers, Goldman Sachs and Morgan Stanley, Court Grants Class Certification
- Monex Deposit Company Cannot Compel Investors to Resolve Consumer Investment Dispute in Arbitration, Says Appeals Court
- Brokerage Firm Amerivet Securities Inc. Sues FINRA for Alleged Misconduct
- Will Two Former Credit Suisse Group AG Brokers Convicted of Securities Fraud Get More Lenient Sentences Because of Industry’s “Culture of Corruption?”
- Wachovia Securities Ordered by Pennsylvania Securities Commission to Repurchase $325 Million in Auction-Rate Securities
- FINRA Bars Ohio Broker Accused of Stealing $90,000 Inheritance from Two Sisters from the Securities Industry
- After District Court Dismisses Texas Securities Fraud Against Billionaire Mark Cuban, SEC Appeal Can Now Move Forward
- SEC Seeks Legislation Allowing It to Pursue Securities Regulators After Their Resignation
- UBS AG and Merrill Lynch Collectively Fined $250,000 by FINRA for Closed-End Fund Actions
- SEC Says Prime Capital Services, Inc. Defrauded Elderly Investors in Florida with “Free” Lunch Seminars and Unsuitable Variable Annuity Sales
- Merrill Lynch & Co. Sued Over Auction-Rate Securities by Teva Pharmaceutical Industries Ltd. and Seneca Gaming Corp.
- Bank of America Agrees to settle SEC Charges of Merrill Lynch Bonuses for $33 Million But Judge Blocks Settlement
- Next Financial Ordered to Pay One Million Dollars for Supervisory Deficiencies that Led to Texas Securities Fraud
- FINRA Permanently Bars Former Broker for Stifel, Nicolaus & Co. Inc and AXA Advisors For Ponzi Scheme
- Ex-Credit Suisse Broker Who Pleaded Guilty to Securities Fraud for Role in Auction-Rate Securities Scam Knew in Late 2007 that Clients’ Funds Were in Trouble
- Morgan Stanley to Pay $500,000 to Resolve SEC Charges that it Recommended Unapproved Money Managers to Clients
- Provident Royalties Faces $485 Million Texas Securities Fraud, Says SEC
- SSEK Looks Into Securities Fraud Claims for Richard Buswell and Brookstone Securities Clients Over Private Placement Units Sales in Advanced Blast Protection
- Texas Securities Fraud Lawsuit Against Former EnergyTec CEO Can Move Forward, Says District Court
- Carlyle Group Sued by Former Congressman Michael Huffington For Investment Loss of More than $20 Million
- Stockbroker Fraud Law Firm Shepherd Smith Edwards & Kantas LTD LLP Files Claims Against Morgan Keegan Following SEC Wells Notice
- FINRA Says Number of Stockbroker Fraud Arbitration Claims by Plaintiffs is Rising
- Ameriprise Must Pay $17 Million for REIT Fraud
- Morgan Stanley Plan to Repackage Low-Grade Debt Obligations Then Sell These as Low-risk AAA Bonds is "Preposturous," Says Stockbroker Fraud Lawyer Bill Shepherd
- SEC Wants to Know Why Target-Date Mutual Funds are Growing Riskier
- Stifel Financial Corp. Says 95% of Clients Agree to Auction-Rate Securities Buyback Plan
- Wachovia Securities Agrees to $1.4 Million FINRA Fine for Failure to Deliver Prospectuses to Customers
- SEC May Sue State Street Corp Over Investor Losses Related to Mortgage-Backed Securities
- Evergreen to Pay Over $40 Million to Settle SEC and Massachusetts Securities Division Charges that Funds were Overvalued
- Former Stifel Nicolaus and A.G. Edwards Stockbroker Pleads Guilty to Mail Fraud
- SEC Securities Fraud Lawsuit Accuses Beverly Hills Money Manager Stanley Chais of Leading Investors Into Madoff Ponzi Scam
- Raymond James and RBC Capital Markets Fined $1.4 Million in Total Over Improper Stock Lending Activities
- JP Turner & Co., Legent Clearing, LLC, Park Financial Group Inc. & Four Individuals to Pay More than $1.25 Million in FINRA Fines for Alleged Penny Stock Violations
- Ex-Morgan Keegan Adviser Pleads Guilty to Stealing from Senior Investor
- Texas Securities Fraud: A Houston Attorney and a Texas A & M Professor Charged with Investment Fraud
- Brokers Renew Push for Investors to Buy Structured Products
- To The SEC: Why It Is Necessary to Change Public Reporting Requirements on Stockbrokers
- Morgan Keegan, Charles Schwab and Others Fight as Wells Fargo Unit Settles Claims of Misrepresented Securities in Short Term Bond Funds
- UBS Financial Services Misled Investors about Lehman Brothers Securities, Says New Hampshire Regulators
- FINRA Orders RD Capital Group and Its President to Pay $1 Million for Fraudulent STRIPS Markups
- Auction-Rate Securities Probes Lead to More Enforcement Actions and Final Settlements with Investment Firms
- Texas Securities Fraud: Court Grants SEC's Request to Freeze Defendants’ Assets Following $40 Million Investment Scam
- Lawsuit against Fisher Investments a possible indicator that more investment lawsuits and arbitration claims against financial advisers may be in the works
- Merrill Lynch Life Agency to Pay Illinois Division Of Insurance $18 Million Over Funeral Trust Scam Allegations
- VSR Financial Services Settles FINRA Claim Over Improper Securities Sales Made to Senior Investors
- Texas Securities Fraud: Ex-Dallas Football Player Charged with Alleged Involvement in $24 Million Investment Scheme
- Wells Fargo Sued Over ARS Sales by California Attorney General for $1.5 Billion
- More Problems at the SEC: Who Regulates the Regulator?
- Goldman Sachs Reaches $60 Million Settlement with Massachusetts Over Subprime-Mortgage Loans
- Fisher Investments Hit with $1.2 Million Arbitration Claim by Senior Investors Alleging Breach of Fiduciary Duty
- Morgan Keegan & Co’s Regions Financial May Face SEC Charges Over Improper Auction-Rate Securities Sales
- Centaurus Financial Slapped with $175,000 FINRA Fine for Failing to Protect Confidential Client Info
- Ex-Citigroup Banker Among Six Defendants the SEC is Charging with $6 Million Insider Trading Scam
- Customer Who Filed Motion to Vacate Arbitration Award is Ordered to Pay Sanctions for Frivolous Arguments
- Former Stockbrokers From Citigroup, Lehman Brothers Holding, and Citigroup Among Defendants Convicted for Conspiracy Related to “Squawk Box” Securities Fraud Scam
- SEC Enforcement Action Holding Southwest Securities Broker Accountable for Market Timing is Affirmed by 5th Circuit
- SEC Sues Broker-Dealer Morgan Peabody Inc Owner For Investment Fraud
- “Churning” Accounts by Brokers is Back in Vogue – Ask the Expert!
- Hennessee Group Settles with SEC over Bayou Group Fraud
- Wachovia and Citigroup Settle Michigan ARS Case for $880 Million
- Another Securities Fraud Lawsuit Filed Against UBS International
- Oregon’s Attorney General Files $36 Million Lawsuit Against OppenheimerFunds
- Merrill Lynch Cannot Prevent Former Brokers From Using Customer Information and Soliciting Clients, Says District Court
- Magistrate Judge Tells Texas Court that Citigroup Global Markets Holding Inc. Should Not Be Denied Arbitration Award for Unpaid Promissory Note
- US Lawmakers Want SEC and Treasury Department to Answer Questions About Merrill Lynch Executive Bonuses and TARP Funds
- Texas Court Freezes Assets of Weizhen Tang After SEC Accuses Him of Operating Multi-Million Dollar Ponzi Scam Targeting Chinese-American Investors
- Did Morgan Keegan Tutor Towns to Invest into Their Own Risky Deals?
- Former Fidelity Brokerage Reps Says They Were Pressured to Make Sales That Conflicted With CFP Ethic Codes
- Morgan Keegan Ordered by FINRA to Pay Investors $267,711 Plus Interest for Losses in RMK Bond Funds
- Merrill Lynch & Co Ordered to Pay FINRA Arbitration Panel $39.8 Million
- “Reversible Convertible” Risks are Now a Reality for Investors Dealing with Substantial Losses
- GM, Ford, Chrysler Retirees: Beware of Financial Advisors After Your Severance!
- US Supreme Court Won’t Hear InfoSpace Founder's Appeal Requesting to Sue Attorneys and Stock Management Company for Allegedly Botching Insider Stock Trading Case
- GM, Ford, Chrysler Retirees: Beware of Financial Advisors Seeking to Invest Your Severance!
- First New York Securities LLC and Four Ex-Traders to Pay $435,000 in FINRA Sanctions Over Short Selling
- Associated Securities Ordered by Arbitrators to Pay $8.8 Million to Investors for Losses in APEX Equity Options Fund
- Houston Broker at Deutsche Bank Alex Brown Leaves Suicide Note Suggesting Clients Sue over Aravali Fund
- Merrill Settles SEC Charges Over ‘Squawk Box’ Misuse for $7 Million
- Wachovia Securities Must Pay Texas $4 Million for Auction-Rate Securities
- Stifel Nicolaus Will Repurchase Auction-Rate Securities from Costumers Within Three Years
- Madoff and Stanford Victims Can Claim Theft Losses as Tax Deductions, Says Internal Revenue Service
- Despite Financial Market Volatility, Most Investment Advisors Are Telling Clients To Stick With Their Investment Plans
- Morgan Keegan Settlement with Children’s Wish Fund Shows the Impact Recouping Investment Losses Can Have On The Little People
- Moody’s Investors Can Pursue Securities Fraud Class Action Lawsuit Accusing the Credit Rating Agency of Falsely Claiming Independence
- UBS Sanctioned For Madoff-Related Losses by Luxembourg Financial Services Regulator
- Outcome of SEC Actions Appear to Favor Larger Broker-Dealers than Smaller Ones, Says Harvard Law School Study
- Wells Fargo, Goldman Sachs, JP Morgan Chase, Citigroup, UBS Securities, Bank of America, Moody’s Investment Services, and Fitch Ratings are Among Defendants Sued On Behalf of Wells Fargo Certificate Investors for Alleged Securities Fraud Violations
- SEC Freezes Assets of Westridge Capital Management, WG Investors, LP, WG Trading Company, LP, and Money Managers Stephen Walsh and Paul Greenwood Over Alleged Misappropriation of Up to $554 Million in Investor Funds
- Morgan Stanley Court Case Demonstrates Why Securities Arbitration is Often a Better Forum
- Bank of America, Citigroup, Goldman Sachs, and Wells Fargo Chief Executives Among Those Defending Bailout Fund Use
- Credit Suisse Securities Ordered by FINRA Panel to Pay $406 Million for Improper ARS Sale to Semiconductor Manufacturer STMicroelectronics NV
- Houston Stockbroker Fraud Law Firm to Represent Stanford Bank Investors Living in Latin America
- Wachovia Fined More than $4.5 Million by FINRA for Sales Violations Involving Mutual Funds and Trusts
- Multibillion-Dollar Stanford Securities Fraud Scam Has Investors Contacting Houston Stockbroker Fraud Lawyers for Help
- Merrill Lynch, Pierce, Fenner & Smith Inc To Settle SEC Charges of Pension Consulting Business-Related Violations for $1 Million
- Wachovia and SEC’s Finalized Auction-Rate Securities Settlement Will Provide Over $7 Billion in Liquidity to Investors
- Annuity Investors Should Not Rely on Class Actions to Recover Their Losses
- UBS Sued by New Orleans Employees’ Retirement System for Alleged Tax Scam that Helped the Rich While Causing Investor Losses
- Merrill Lynch Pierce Fenner & Smith Does Not Have to Halt Redemption of ARS Clients, Says Court
- Merrill Lynch, J.P. Morgan and Others fail to Obtain Dismissal of IPO Case by Houston Judge
- Securities and Exchange Commission Now Calling for Comments on FINRA Proposal Regarding New Financial Responsibility Rules
- Agape Founder Nicholas Cosmo Arrested for Allegedly Running $370 Million Ponzi Scam
- Merrill Lynch Ends Investor and Employee Class Action Lawsuits with $550 Million Settlement
- Texas State Securities Board Orders Golden Triangle Energy Corp. and Vision Asset Development Co. to Stop Selling Securities
- Wall Street Did Not Know Mortgage Backed Securities were Junk. Baloney!
- FINRA Says Securities Arbitration Claims Increased by 85% in 2008
- District Court Denies Federal Government’s Request to Detain Investment Adviser Bernard Madoff After He Transferred $1 Million in Valuables
- Madoff Investors May Have a Better Chance of Recovering their Investment Losses Through Tax Strategies Rather than Lawsuits
- SEC Rapped for Allegedly Failing to Fully Investigate Alleged Wrongdoings in the Municipal Securities Market
- Wachovia Corp Sued by Carolinas Health Care System for More than $19 Million in “Bad” Investments
- $865 billion in state pension fund losses are resulting in reduced benefits for new hires
- Although $200 Billion Auction Rate Securities Are Unfrozen, Many Investors Still Hoping to Recover $135 Billion in Frozen ARS
- Former Regions Morgan Keegan Investment Funds Revise Their Names to Include Helios Brand
- Former Broker Charged with Conspiracy to Commit Wire Fraud Following Allegations He Helped Law Firm Founder Mark Dreier Defraud Hedge Funds Through Ponzi Scam
- Investor Fraud Lawsuits Stemming $50 Billion Ponzi Scheme May Name Madoff's Family Members as Additional Defendants
- Number of Federal Securities Fraud Cases Prosecuted Drop Significantly
- Former Stanford Group Co. Financial Advisers Must Arbitrate Constructive Discharge Claims
- ARS Investors Can Seek Consequential Damages Recovery Through Special Arbitration Procedure Introduced by FINRA
- UBS and Citigroup to Pay Nearly $30 Billion to Tens of Thousands of ARS Investors
- Senior Investor’s Claim Against Wells Fargo is Remanded on Fraud in Execution by California Court of Appeal
- Madoff Investors Who Were Victims of “Ponzi” Scam Contact Securities Fraud Law Firm Shepherd Smith Edwards & Kantas LTD LLP to Explore Recovery Options
- Former NEXT Financial Group Stockbroker’s Claim that He Was Fired for Refusing to Conceal Churning is Subject to Arbitration
- Do Broker-Dealers Hire Brokers Already Suspected of Securities Fraud?
- US Treasury Department Extends Money Market Fund Guarantee Program Through April 2009
- Stockbroker Fraud Law Firm Shepherd Smith Edwards & Kantas LTD LLP Investigate Securities Fraud Claims Involving Former World Group Securities Representatives David Olson and Edward Allen
- Merrill Lynch NY Branch Manager is No Longer with the Firm
- SEC Proposes Road Map For The Mandatory Adoption Of International Financial Reporting Standards
- “Living Benefits” Annuity May Be Riskiest Product Ever Sold by Insurance Industry
- SEC Adopts Rules to Streamline Mutual Funds Disclosures But Delays Making Decision on Credit Ratings’ Final Rules
- Securities Fraud Class Action Lawsuit Against Hartford Financial Services Group Inc. is Reinstated in Appeals Court
- The Financial Regulation Reform Act of 2008 Seeks to Regulate Investment-Bank Holding Companies and Credit Default Swaps
- Massachusetts Top Securities Regulator Charges Oppenheimer & Co with Unethical Conduct and Fraud
- NASAA Says Investors with Frozen Auction-Rate Securities Should Ask Investment Firms About Buyback Opportunities
- Citigroup Global Markets Ordered to Pay FINRA Fine for Inadequate Supervision
- Former UBS Executive Director Must Forfeit $15.81 Million in Illegal Profits and Serve 6 1/2 Year Prison Term for Insider Trading
- District Court Confirms Merrill Lynch Arbitration Award in Investor Dispute
- Protestors in Asia Decrying Lehman Brothers “Mini-Bond” Collapse Could Be A Sign of More Lawsuits and Claims Against US Broker-Dealers
- Lazard Capital Markets Pays $2.8 Million to Settle SEC Charges Over Allegedly Improper Expenditures Made to Fidelity Investment Traders
- Moody’s, Standard & Poor's, and Fitch’s Assignment of High Credit Ratings to Mortgage-Backed Securities Contributed to the Financial Meltdown
- J.P. Turner & Co. Will Pay $250,000 to Settle FINRA Charges Related to Inadequate Supervision of Stock Trade Commissions
- SEC Failed in Its Oversight of Bear Stearns, Says Inspector General
- Former UBS AG Co-General Counsel David Aufhauser Agrees to Settle Insider Trading Charges for $6.5 Million
- NASAA and AARP Launch “Free Lunch Seminar Monitor Program” to Protect Seniors From Investment Fraud
- SunTrust Investment Services to Pay $700,000 Fine to Settle FINRA Charges of Excessive Commission and Supervisory Violations Involving Fee-Based Brokerage Business
- Banorte Securities International, Ltd. Agrees to $1.1 Million Fine Over Charges It Recommended Class B Mutual Fund Shares Instead of Class A
- Securities Fraud Law Firm Shepherd Smith Edwards & Kantas LTD LLP Investigates Ray Londo, Londo Financial Group, and Linsco Private Ledger For Improper Lending/Borrowing of Client Funds
- Securities and Exchange Commission Sues Five World Group Securities Brokers For Persuading Clients to Refinance Homes With Subprime Mortgages
- Goldman Sachs Applies for New York Bank Charter
- FINRA Orders Charles Schwab to Pay $542,340 Over Short-Term Bond Fund Investor Claim
- Wisconsin School Districts Sue Royal Bank of Canada and Stifel Nicolaus and Co. in Lawsuit Over Credit Default Swaps
- 2004 SEC Vote that Changed Net Capital Rule May Have Played a Role in Current FInancial Crisis
- Almost 7,000 Broker-Dealers from FSC Securities, AIG Financial Advisors, and Royal Alliance Associates Will Be Part of AIG Advisor Group Sale, Says Source
- Lehman Brothers’ “Structured Products” Investigated by Stockbroker Fraud Law Firm Shepherd Smith Edwards & Kantas LTD LLP
- FBI Investigates Former HFI Securities Inc. Vice President After Gold and Silver Coins Worth Millions of Dollars Found in His Basement
- Former LPL Financial and Ameriprise Representative Charged with Theft and Fraud of Persons He Met through Church and Little League
- Court Upholds that New Jersey Division of Investment Cannot Hire External Pension Fund Investment Managers
- Hedge Fund Manager Settles SEC Charges He Helped Defraud Investors of Nearly $20 Million
- District Court Finds that Viatical Settlements are Securities In Michigan and Oklahoma
- Rosenthal Collins Group LLC Settles CFTC Charges Over Failure to Enforce Compliance and Supervisory Procedures
- SEC’s New IDEA Will Let Investors Easily Access Data About Public Companies and Mutual Funds
- Federal Judge Vacates Guilty Pleas Against Three NYSE Traders Charged With Securities Fraud
- Two Former Credit Suisse Brokers Charged With Fraud and Conspiracy Related to Auction-Rate Securities Scam
- US Labor Department Wants Whistleblower To Show that Sarbanes-Oxley Act Covers UBS Financial Services
- SEC Reaches Preliminary Settlement with Merrill Lynch, Pierce, Fenner & Smith to Liquidate About $8.5 Billion in Auction Rate Securities
- 2nd Circuit Reinstates TIAA-CREF Enterprises Inc. Faces Negligence and Breach of Fiduciary Duty Claims
- Investigation Underway of Asset Management Fund's ("AMF") Ultra Short Fund (AULTX) and the Role of Shay Asset Management
- Charles Schwab, Fidelity, and Other Downstream Brokerages are Subpoenaed as NY Attorney General Cuomo's Auction-Rate Securities Probe Expands
- NY Attorney General Coumo Estimates that Wall Street Firms Have Only Agreed to Repurchase 18% of ARS Securities
- Arbitration Claims for Consequential Damages on Auction Rate Securities (ARS)
- FINRA Rolls Out New Arbitration Process for Auction-Rate Securities Claims
- State Street Sued Over Allegations of Misrepresentation Related to Mortgage-Backed Securities
- Bank of America Did Not Warn Small Investors About Auction-Rate Securities Crisis
- SEC Charges Former AG Edwards and Bank of America Broker With Misappropriating $1.3 Million from Customers
- Claims Continue over MasterShare - Prudential Securities’ Deferred Compensation Plan
- Seven Mutual Fund Horror Stories for Investors!
- Mutual Funds Misrepresented as Safe: SSgA Yield Plus, Fidelity Ultra-Short Bond (FUSFX) & Regions Morgan Keegan Select High Income (MKHIX)
- Connecticut Attorney General Sues Moody’s, McGraw Hill, & Fitch Over Municipal Bond Issues
- Securities Law Firm Shepherd Smith Edwards & Kantas LTD LLP Investigates Investor Claims Related to Short Term Bond Funds
- FINRA Pilot Program Offers Up All-Public Arbitration Panel to Hear Investor Claims
- Pluris Valuation Survey Finds Auction-Rate Securities Write-Downs Totaling $2.1 Billion
- Massachusetts Slaps Merrill Lynch with Auction-Rate Securities Fraud-Related Charges
- SEC Issues “ComplianceAlert Letter” Citing Common Weaknesses and Deficiencies of Registered Firms
- Auction-Rate Securities Crisis Impacts Hospital Industry
- Judge Approves Citigroup Falcon Fund Investors’ Decision to Withdraw Lawsuit
- New York Attorney General Files Securities Fraud Lawsuit Against UBS
- SEC Subpoenas Over 50 Hedge Fund Advisors in Probe of Whether Stock Price Manipulation Affected Bear Stearns and Lehman Brothers Shares
- Securities Regulators Arrive At Wachovia Securities Headquarters to Conduct Auction-Rate Securities Investigation
- Scottrade Agrees to $950,000 Civil Penalty To Resolve SEC Charges of Fraudulent Misrepresentation Regarding Nasdaq Pre-Open Order Executions
- Senators’ Bill Calls for Added $50,000 Fine For Defrauding Elderly Investors
- Deutsche Bank Securities Unit Must Defend Itself Against Xethanol Corp. Lawsuit Related to Auction-Rate Securities Losses
- Ex-Broker Files Whistle-Blower Complaint Against UBS Financial Services
- Citigroup’s Smith Barney Draws Ire of Investors and Its Own Brokers Over ASTA/MAT and Falcon Funds
- Investors Seek Arbitration Resolutions Against Charles Schwab for Alleged Securities Violations
- Massachusetts Commonwealth Secretary William Galvin Sues UBS for Fraud
- Connecticut Brokerage Aide Must Pay $58,825 To Settle Charges He Made Unauthorized Securities Trades
- Citigroup Settles Securities and Exchange Commission Charges Over Accounting Issues Related to Argentine Bonds
- Another Lawsuit Against Former Merrill Lynch Research Analyst Henry Blodget is Dismissed Due to Loss Causation
- Lincoln Funds International Inc. and Its Principals Issued Restraining Order Following Alleged $21 Million Biotech Scam
- SEC Judge Slaps Next Financial Group With $125,000 Fine Over Recruiting Practices
- SEC and State Regulators Probe Whether UBS Played a Role in Auction-Rate Securities Collapse
- Former JP Morgan Chase and Credit Suisse Banker is Sentenced to 10 Years in Prison for Insider Trading Tip Scam
- State Regulators Investigate World Financial for Deceptive Sales Practices
- Former SEC Commissioner Nazareth Says The US Not Keeping Up with Evolving Investment Markets
- Student Lender Brazos Group Inc. Wants Citigroup, Bank of America, and Other Banks to Solve Problems Caused By Auction-Rate Securities Market Crisis
- SEC Charges North American Clearing, Inc. With Misusing Customer Funds
- First Southwest Co. Settles SEC Charges That It Improperly Intervened In Auction-Rate Securities Market
- SEC Director Says Deploying Enforcement Resources Continues to Be A Challenge
- Piper Jaffray Accused of Giving Faulty Advice in Two Bond Offerings
- E*Trade Securities LLC, TradeStation Securities Inc. and CIBC World Markets Corp. Face FINRA Fines For Failing to Accurately Report Equity Securities Order Information
- Securities Fraud Lawsuit Against Ex-Merrill Lynch Analyst Accused of Issuing False Reports About CMGI Inc. is Dismissed
- SEC Director Erik Sirri Says Direct Market Access Systems Guidance For Broker-Dealers Is In The Works
- Former Broker-Dealer Chanin Capital Settles SEC Charges That It Failed to Set Up Proper Insider Policies and Processes
- GunnAllen Financial Settles FINRA Charges Over the Firm's Alleged Involvement in Trade Allocations
- UBS To Pay Massachusetts Municipalities Over $35 Million for Auction-Rate Securities Losses
- Wachovia Securities LLC Sued For Alleged Fraud Involving the Sale of Le Nature's Senior Subordinated Notes
- Are Investment Banks Taking the Necessary Steps to End the Auction-Rate Securities Crisis?
- Ex-WFG Investment Stockbroker Accused of Allegedly Defrauding Over 500 Senior Investors Agrees To Disgorge Ill-Gotten Earnings
- Ex-Southwest Brokers Found Liable for Concealing Market Timing Trades
- AARP Financial Inc. Survey Says Investors Find Financial Lingo “Technical and Confusing”
- NASAA Says State Regulators Continue To Investigating Auction-Rate Securities Problems Affecting Investors
- U.S. Representative Barney Frank Calls on SEC to Widen Investigation of Improper Trading Rumors Surrounding Bear Stearns’s Stock
- Ex-Assent LLC Broker Pleads Guilty to Concealing Insider Trading Activities
- Schwab YieldPlus Fund Investors File Securities Class Action Lawsuit Alleging Marketing Misrepresentation in Funds’ Offering Documents
- Ameriprise Settles Lawsuit Alleging That Six of Its Financial Advisers Forged Customer Signatures
- 16 State Farm Entity Representatives Settle FINRA Test-Taking Sanctions
- Rogue Fidelity Investment Adviser’s Prison Sentence is Vacated Due to Improper Application of “Identity Theft Enhancement”
- The Association For Financial Professionals Wants SEC Chairman Cox To Push Harder For Reform Of Credit Rating Agencies
- Two Brazilian Nationals Indicted For Alleged Involvement In $50 Million Telemarketing Scheme
- ARS Failures at Brokerage Firms So Bad Even Their Own Association is Critical!
- Merrill Lynch Sues Insurer for Failing to Honor Claims Opening Door to Mysterious "Swaps" Market
- UBS Securities, Bank of America, and Merrill Lynch Among Firms Subpoenaed In Massachusetts Auction-Rate Market Sales Probe
- Auction-Rate Securities to be Priced this Weekend by UBS – Others to Follow?
- Court Says Investor Must Arbitrate Claims Against Broad Street Securities, Pershing LLC, and Bank of New York Mellon Over Contract Alterations
- W.P. Carey & Co Settles SEC Charges Over Payments of Undisclosed REIT Compensation
- JP Morgan Chase’s Bear Stearns Acquisition Could Make The Firm Vulnerable to Lawsuits
- Too Little Too Late: Fund Compies' Attempts to Refinance Auction Rate Preferred Securities Using Leverate or Varible Rate Securities Unlikely
- Wachovia Securities Analyst Comments on Bear Stearns’ Sale and Calls Merrill Lynch the “Riskiest” Investment Bank
- Wells Fargo Brokerage Services. FTN Financial, and Stone Youngberg Among Founders of Regional Bond Dealers Association
- Bear Stearns Sold to JP Morgan – One Firm’s Trash Is Another Firm’s Treasure!
- A.G. Edwards & Sons Stockbrokers Ordered to Pay $750,000 Fine for Market-Timing Scam
- Ex-UBS Executive Pleads Guilty to Insider Trading And Could Spent 90 Years in Prison
- Countrywide Financial, Merrill Lynch, and Citigroup Executives Defend Their Hefty Compensations Following Subprime Mortgage Crisis
- Holston, Young, Parker & Associates Operator Pleads Guilty to $6.5 Million Forex Investor Scam
- Fidelity To Pay $8 Million Fine To Settle SEC Charges Regarding Traders’ Improper Gift Taking
- Oppenheimer & Co. Agrees to Settle FINRA Market Timing Charges for $4.5 Million
- Former Refco Senior Executives Plead Guilty to $2.4 Billion Fraud-Related Criminal Charges
- Merrill Lynch, Prudential Securities, Pruco and UBS Must pay $2.4 Million in Fines for Mutual Fund Abuses
- FINRA Says Ex-Morgan Stanley Stockbroker Misappropriated Nearly $400,000 From 97-Year-Old Widow
- Questar Executive Fired For Failure to Disclose Private Securities Transactions
- How Wall Street Firms Convinced Investors to Put Billions into ARS and ARP Securities Just Before the Auctions “Failed”
- Ex-Credit Suisse Investment Banker Appeals Insider Trading Charges Conviction
- SEC Involved in 36 Subprime Mortgage Industry Probes
- FINRA, SEC, and NASAA Announce New Initiative for Protecting Senior Investors
- Detroit Accounting Firm Named in Lawsuit Involving Alleged Ponzi Scheme
- U.S. Supreme Court Decides That 401(k) Retirement Participants Can Sue for Losses Under ERISA
- Allianz Life Insurance Settles Inappropriate Fixed Annuity Sales Allegations for $10 Million
- Goldman Sachs, Merrill Lynch, Lehman Brothers, and Other Investment Firms Deal with Frozen Auction-Rate Securities
- Goldman Sachs Settles Enron Fraud Lawsuit with University of California for $11.5 Million
- Pondering the SEC’s Role in the Subprime Mortgage Crisis
- Banc One Securities Will Settle FINRA “Unsuitable" Deferred Variable Annuities Charges for $225,000
- Heartland Advisors Inc. Settles SEC Charges for $3.9 Million
- SEC-Commissioned Report Finds that Investors Have A Hard Time Telling the Difference Between the Roles of Broker-Dealers and Investment Advisers
- Former LFTC and LRAIC Broker Settles CFTC Charges that He Defrauded Investors
- Commodity Futures Trading Commission Charges Argentine Investment Adviser With Defrauding Investors in $43.8 Million International Scam
- Deutsche Bank Trust Company, Goldman Sachs Group, and Bank of America Corporation are Among the 21 Lenders Named in Cleveland, Ohio Lawsuit
- SEC & FINRA Examine CMO Sales and Marketing Practices
- K.W. Brown & Company, K.W. Brown Investments, & 21st Century Advisors Are Held Liable in $4.5 Million Cherry-Picking Scam
- Investors into Bear Stearns' "Mult-Strategy Fund Warrants" Lose over 99% on Their Investment
- Class Action filed against Morgan Stanley on Behalf of Former Eastman Kodak Employees
- SMH Capital and Two of Its Brokers to Settle FINRA Charges Over Oversight Failures
- TV Judge’s Case Goes to U.S. Supreme Court
- Bear, Stearns, Merrill Lynch, Deutsche Bank Securities and UBS Securities Among the 19 Broker-Dealers to Settle SRO Charges Of Overstated Ad Volumes
- Investors Complain about Mutual Funds Sold by Morgan Keegan
- vFinance Investment Inc. is Slapped with SEC Charges for Failing to Retain E-Records
- Ex-Goldman Sachs Associate Will Serve Nearly Five Years in Prison for Insider Trading
- $600 Million Set Aside by State Street May Be Tip of Mortgage Litigation Iceburg
- Morgan Keegan Settles Arbitration Claim Made By Indiana Children’s Wish Fund
- Senior Vice President of Questar Capital (now Allianz Insurance) Claims He's a Victim of Ponzi Scheme
- Two Former Morgan Stanley Advisers are named in SEC Market Timing Lawsuit
- SEC Investment Management Division Director Wants Mutual Funds to Call Their “Distribution Fee” a “Sales Charge”
- Goldman Sachs Class Securities Fraud Lawsuit is Dismissed
- Citibank and Columbia University Sued for Charging College Students Extremely High Interest Rates on School Loans
- NASAA Calls for Voluntary Securities Arbitration System
- Ronin Capital, Goldman Sachs Execution & Clearing, Penn Mott Securities, and Pearson Capital Management Receive Censures and Fines from NYSE Regulation
- JP Morgan Will Pay $500,000 to Settle Municipal Securities SRO Claim
- FINRA Says Democrats Nominate Picks For SEC Commission
- Bear Stearns, Deutsche Bank, and Merrill Lynch Among the Wall Street Firms Subpoenaed by New York Prosecutors
- FINRA Consolidation Results in Fewer Exams for Securities Firms
- Rafferty Capital Markets to Pay Over $400,000 in Sanctions Over Alleged Market Timing Trading Practices
- Morgan Stanley and WestLB Lose Cases Because of E-Mail Evidence—or Lack Thereof
- Citadel’s $2.5 Million Investment into E-Trade Raises New Questions About Mortgage-Backed Securities
- Supreme Court to Rule on Whether Employee Can Sue for 401K Losses
- Prosecutors Say Smart Online Inc. CEO Scammed Investors to Drive Up Shares
- Bear Stearns is Charged with Violating Securities Laws in Hedge Fund Case
- SEC Enforcement Director Highlights Agency's Efforts To Eliminate Fraud Targeting Senior Investors
- Cromwell Financial Services and Several Employees Will Pay Over $20 Million to Settle Fraudulent Solicitations Allegations
- Ex-Freddie Mac CEO Leland Brendsel Will Pay $16.4 Million Fine to Settle OFHEO Action
- Oppenheimer to Pay $1 Million to Settle FINRA Bogus Data Charges
- Corporation Owner and His Two Companies Can Sue Accountants For Fraud Involving Third Entity
- Mortgage-Backed Securities, Collateralized Debt Obligations, Subprime Loans: Officials Scramble to Rescue Banks, Borrowers and Stock Market, but Forget Defrauded Investors
- Broker-Dealers Get New Rule Governing Deferred Variable Annuities Sales
- SEC and FINRA Announce Plan to Help Broker-Dealer CCO’s with Compliance Controls
- FINRA Says New Rule Book Consolidating NYSE and NASD Rules Might Not Be Completed Until 2009
- Bill Allowing American Stock Exchange to Increase Competitiveness With Second Tier Markets Passes House of Representatives
- FINRA Cautions Investors to Watch Out For “Pump-and-Dump Scams” Using Energy Stocks
- North American Securities Administrators Association Announces Investment Adviser Best Practices
- Ameriprise Financial Again Charged With Fraud
- Fired UBS Broker’s $2.4 Million NASD Arbitration Award is Upheld
- Guardian Wealth Management - Where Stockbrokers Go to Stop Working but Keep Earning
- Mortgage Backed Securities and Collateralized Debt Obligation Losses Mount as Lawyers Weigh Investors' Options
- Ex-Wood Rivers Partners Hedge Fund Manager to Serve 3 Years in Prison for Defrauding Investors of $88 Million
- Merrill Liable for $6 Million to Estate of Elderly Couple
- HSBC Securities, Citigroup Global Markets Inc., UBS Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Inc., and Interactive Brokers LLC Among Firms Disciplined by NYSER
- Fidelity Investments and The Vanguard Group Offer Retirees Managed-Payout Funds
- Morgan Stanley Former Associate and Husband Sentenced in Insider Trading Scheme
- Interactive Brokers LLC Sanctioned for Failing to Supervise Its Compliance Staff
- MetLife Securities Broker Charged with Stealing from 9/11 Victim’s Widow
- SEC Commissioner Annette Nazareth’s Departure Leaves Agency With No Democrats On Panel
- Oppenheimer, Morgan Stanley, Nomura Securities, and A.G. Edwards Traders Face SEC Charges of Stealing Stock Loan Kickbacks Worth $12 Million Plus
- Merrill Lynch, Morgan Stanley and Bear Stearns Suffer Losses as Ratings Agencies Are Grilled over Sub-prime's
- Morgan Stanley Fined $7.5 Million by SEC for Trade Confirmation Violations
- Citigroup, Lehman Brothers, DeutscheBank and other Firms Fined for Failing to Deliver Trade Confirmations.
- EKN Financial Services Fined and Sanctioned for Transactions in Unregistered Securities
- Study Says Securities Arbitrators Often Expunge Investor Settlements from Brokers’ Records
- New Primary Regulator of Securities Brokerage Firms Is Run Only By Brokerage Firms
- Former GunnAllen Financial Branch Manager Allegedly Involved in Partnership Ponzi Scheme
- Enforcement Actions Against Brokerage Firms And Individuals Went Down in 2006, Says Study
- Former InterSecurities Brokers Investigated for Fraud
- Stock-Loan Traders from Morgan Stanley, Janney Montgomery Scott, and Other Brokerage Firms Charged In $12 Million Stock-Loan Scam by SEC and DOJ
- Callan Associates Resolves SEC’s Incomplete Disclosure of Conflict Charges
- Morgan Stanley to Pay $12.5 Million in Compensation and Fines
- Ex-Goldman Sachs & Co. Employee Pleads Guilty To Operating Multi-Million Dollar Insider Trading Scheme
- Department of Defense Continues Crack Down on Crooked Financial Advisers Targeting Military Personnel
- SEC Investigates Credit Rating Agencies’ Policies Regarding Debt-Related Securities
- Shame on you Moodys! Shame on you S&P! A pox on both your houses!
- SEC Provides Brokerage Firms with New Loophole to Avoid Breach of Duty to Investors
- Morgan Stanley Allegedly Made Illegal Financial Sales Calls to Individuals from CareerBuilder.com
- Broker-Dealer Legacy Financial Shuts Down Operations
- SEC and FINRA Say “Free Lunch” Seminars are Investment Scams Targeting Seniors
- Highly Touted Whistleblower Protection Law Is Lost in the Wind
- Fraud is Cause of Financial Loss! Say One in Five Older Americans
- Money Manager Sentinel Management Group is Missing $505 Million from Accounts
- FINRA Is Pressured to Cut Ties Between Public Arbitrators and the Industry
- SEC Files Charges in $428 Million Securities Fraud Case Over Exploitation of Senior Investors
- NASD Successor “FINRA” Hypes Retail Investor Online Info Section
- State Regulators’ Association Seeks to Abolish Bogus Finanical Advisory Designations
- Pump and Dump Scheme Involving Prime Time Stores Inc. Sends Global Spam Levels Up 30%
- American Funds’ Europacific Growth Fund, Allegiant Advantage Fund, and Vanguard 500 Index Fund Are Among Mutual Funds Offering Data to Investors Via SEC's EDGAR
- Wealth Advisor Institute Calls for Reforms of the U-5 Termination Process For Brokers
- Business Optimism over SEC 'Reforms' - That is, to Dismantle Securities Regulations!
- New York Court Sides with Ameritrade - Redefines "Best Execution"
- Hedge Funds Plead Guilty in Scam Costing Victims $194 Million
- SEC Bows to Pressure - Pulls List of Those Linked to Terrorists
- Hartford to Pay $115 Million for Late Trading - and More!
- Morgan Stanley Fined Again - This Time for Overcharges
- Weekly Update Aug. 1, 2007 Wall Street Notes
- What Worries Your Broker? This Should Scare You!
- Merrill Manager at Center of Harassment Claim Now at Southwest Securities - But Claims and Counterclaims Continue
- Loss on Enron, Worldcom, etc.? It May Not Be Too Late!
- Three Letter Symbols for NASDAQ Stocks? Is Nothing Sacred on Wall Street?
- Viaticals: Ghoulish Wall Street Even Seeks to Profit on the Dying
- FSC Securities Unit of AIG – A ‘Cozy’ Place for Fraud?
- Industry Group Wants to “Reform” - Not End - Abuse Prone B-Shares
- Merrill Lynch Ordered to Pay $1.6M to Former Broker for Ethnic Bias - But Will This Survive Appeal?
- Wall Street Wars VII: SEC Chairman to RIAs - "Greetings" - A Regulator on Steriods?
- Citigroup's Smith Barney Unit Ordered to Pay $50 Million over Widespread Fraud Charges
- Morgan Stanley Last Again in Customer Satisfaction
- As Wall Street Seeks to Lower the Bar, Investors Continue to Say They Value Ethics
- What’s in a Title? Washington State Securities Regulators Want to Know
- Securities Class Action Filings Fall Dramatically
- What's in a Name? Ask the NASD
- Enron Victims, Now Victims of Their Own Government, Finally Find Friends in Former Regulators
- Edward Jones Must Pay $75 Million For Failing to Disclose Mutual Fund Incentives
- Wedbush Hit with Nun’s Complaint over CMO’s - May Have More Than Brokers in Common with Brookstreet
- UBS to Pay $23 Million over Charges by NY Attorney General of Abuse in Fee-based Accounts
- SEC Fines of Invesco and AIM Advisors to Fund $375 Million in Payments to Victims of Late Trading Fraud in Mutual Funds
- Securities America Fined $375,000 Over Secret Commissions Directed to Its Broker
- Margin Account Debt on NYSE Stocks Over $350 Billion – Record Debt Brings New Warnings of Risks
- Schwab to Distribute $3.5 Billion to Its Shareholders by Buying Back Over 100 Million Shares
- SEC Announces $37Million Distribution To Investors in Columbia Funds Harmed by Timing Scheme
- Latest in “Race to the Bottom” by Securities Regulators: Relaxed Accounting Procedures for Foreign Issuers
- Oppenheimer Fined $1 Million for Abuse of Widow – Later Told She “Only Had Herself to Blame”
- Former Trautman Wasserman Executive is Latest to be Fined in Widespread Late Trading Scandal
- Ameriprise Broker Arrested for Defrauding Investors - Clients Say He Cashed Checks Made Out to Ameriprise.
- Government Tightens Noose on Top Securities Class Action Attorneys
- Morgan Stanley Fined By State Regulator for Failure to Supervise Mutal Fund Sales
- Wall Street Wars, Part VI: After Losing "Merrill Rule" Case, SEC is Exploring Changes in Investment Advisors Act - BEWARE!
- Some Brookstreet Brokers Become Wedbush Morgan Brokers
- As Bear Stearns Hedge Fund Faced Liquidation its Head Manager's Golf Game Did Not Suffer
- SEC's New Terrorism Search Site Is the Latest Target of Fear-Mongering Tactics by Business Community
- Update: Do Insurance Companies Use Scam Artists to Sell Unsuitable Annuities to the Elderly?
- Judge Tosses Suit by Elderly Who Claim They were Misled into Annuity Losses
- SEC Halts Debt Offering by Amerifirst Funding, Alleging Fraud Targeting Elderly Investors
- While Former Merrill Lynch & Co. Stockbroker is Found Guilty of Witness Tampering, Seven Other Defendants are Acquitted in “Squawk Box” Securities Fraud Case Involving A.B. Watley Employees
- Want to Make Big Bucks Without Responsibility? Become a Corporate Director
- Follow Up: North Carolina Treasurer Urges Elimination of Brokerage Firms Voting of Client Shares
- SEC Declines to Exempt From Broker Dealer Registration A Consulting Firm Which Raises Capital For Small Businesses
- SEC Alleges that a Hedge Fund, Its Owner and Its Chief Trader Illegally Earned $57 Million in a Late-Trading Scam.
- U.S. Treasury Official Brags of Close Ties to Wall Street in Advancing Support of the “Race to the Bottom” in Compliance Laws
- Wells Fargo and its Former Research Director Fined Over Undisclosed Conflict
- MML Investors Services, NYLIFE Securities, Securities America and Northwestern Mutual Investment Services Fined a Total of $1.2 Million for Mutual Fund Violations
- H&R Block Earnings are Sunk by Subprime Mortgage Unit.
- Securities Industry Regulatory Authority (SIRA) Will Replace NASD as Name of Combined SRO (But Why?)
- Wachovia Securities Settles NASD Supervision Charges and Agrees to $2 Million Fine
- JB Oxford Violated Late Trading Rules but Claims Against Its Former General Counsel Are Dismissed
- Son of Brookstreet Founder Joins Wedbush Morgan and Invites Brookstreet Brokers to Join Him
- Brookstreet Liquidates Portfolio after Margin Calls by Fidelity Unit
- Stockbrokers and Their Firms: The Story of Bad Apples from Bad Orchards
- Do Wall Street Powerhouses Earn Billions Through Fraudulent Fund Sweeps?
- This Time the Feds -Not the SEC- Abandoned Enron Investors
- NASD and NYSE Seek Guidelines To Supervise Electronic Communications
- Wrap fees? Beware of “investment professionals” who say they only charge a percent or two!
- Morgan Stanley is Fined $500,000 for Faulty Oversight
- News Flash: Brookstreet Securities Closes its Doors
- Defendants Ordered to Pay $14 Millions Over Alleged Prime Bank Scheme
- Will Brookstreet Securities Be Wiped Out by a CMO Debacle?
- Wall Street Wars: When Investment Advisors Sued the SEC and Won Did They 'Tug on Superman's Cape?'
- Merrill Lynch Seizes $400 Million of Assets from a Bear Stearns Managed 'Subprime' Hedge Fund for Failing to Meet Margin Calls
- PBHG Investors Harmed By Fraudulent Market Timing To Receive $73 Million
- NASD Says Citigroup To Pay $15.2 Million For Misleading BellSouth Retirees
- Wall Street Wars: SEC Chairman's "Payback" to Investment Advisors?
- Lawyers Speak Out Against Dry Cleaner "Lost Pants" Suit
- Putnam and Its Former Portfolio Managers Settle SEC Charges Over Short-Term Trading of Mutual Fund Shares
- HSBC Brokerage Ordered by NASD to Pay $250K to Settle Best Execution Charges
- Janus Avoids Responsibility to Mutual Fund Shareholders for Alleged Role in Widespread Market Timing Scandal
- Fees on 12 B-1 Mutual Funds (or "B Shares") Under Renewed SEC Scrutiny
- AOL Time Warner Shareholders May be Able to File Late Fraud Claims if Class Certification is Denied.
- Securities America Fined $15 Million for Luring Retirees Using Exaggerated Promises
- Credit Suisse Employee Arrested in Insider Trading Scheme
- Barclays Bank and its Former Trader to Pay Over $11 Million To Settle SEC Insider Trading Claims
- "High Yield" Investment Scam Costing Investors Over $50 Million Results in Conviction of Four
- Should Brokerage Firms Continue to Vote Their Clients Shares Without Permission, Including for Corporate Directors?
- California Can Not Require Higher Standards for NASD Arbitration
- SEC Says It Has No Jurisdiction To Review NASD Action Against Sky Capital
- Former Wood River Partners LP Hedge Fund Manager Pleads Guilty to $88 Million Securities Fraud Scheme
- Annuity Sales Fraud of Seniors is Growing, Says the NASD
- North Cove Ventures LLC and Former Connecticut State Senator DiBella Found Liable For Aiding And Abetting Fraudulent Investment Scheme
- Order Banning Former Head of Bancshareholders of America from the Securities Industry Affirmed by the SEC
- Wachovia Brokerage Buying A.G. Edwards to Become Second Only to Merrill Lynch
- SEC Favors Companies Committing Fraud Over Investors As Shown by Its Recent Actions
- Survey Shows 43% of Investors Can Easily be Scammed
- Former Head of Commodity Trading and Head Trader at Citibank Both Jailed for Inflating Profits
- Disputes With Former Brokerage Firms and Brokers Must be Arbitrated
- According to Survey by Vestment Advisors Inc., Many Financial Advisers Knowingly Work Around Their Firms’ Compliance Rules
- Proposed Act Requires SEC Registration of Hedge Fund Advisers
- Former Reagan Budget Head Stockman Charged With Securities Fraud
- Citigroup, Merrill Lynch and Lehman Ex-Brokers Face Retrial in Eavesdropping Case
- SEC says AIG and Other Insurance Companys' Products Used for Earnings Fraud
- SEC Allegations Against Broker Accused of Fraudulent Trading Scheme Involving Archer Alexander Securities Corp. Will Not Be Dismissed, Says Court
- SEC Says Credit Suisse First Boston Broker's Tips on TXU Used by Pakistani Banker
- RBC Dain Rauscher Fined $90K for Compliance Program Flaws
- SIPC Insurance of Brokerage Accounts to be Disclosed to Investors But Not Explained
- “Pump and Dump”, Annuities, Real Estate, Affinity Fraud and "Free Lunch Seminars" Are Top Scams in 2007 Say State Securities Regulators
- Wachovia is Among the Financial Institutions Accused of Assisting Scam Artists To Bilk Seniors
- Micah S. Green, Expected New CEO of Largest Securities Industry Group, Resigns During Scandal
- Penthouse International Inc., a Former Director, and a Former Shareholder Agree to Settle SEC Charges of Alleged Involvement in a Revenue Recognition Scheme
- Swindlers of Seniors Targeted by Massachusetts’ Head Securities Regulator
- LPL Financial Services is Playing Hardball to Prevent Competitor from Raiding Its Newest Brokers.
- Citigroup Will Pay $200,000 in SEC Sanctions Connected to LMWW Auction Market Misconduct
- Failed Promissary Note for NASCAR Venture Results in Securities Fraud Conviction
- Claims Against Goldman Sachs for Alleged Fannie Mae Fraud Must Be Filed Individually
- When Asked the Fate of $134 million of Investors' Funds Ex-professor Claims "Amnesia."
- Coalition of Former Enron Shareholders Asks the SEC for Help In Holding Banks Accountable for Their Role in Enron’s Fraud Scheme
- U.S. Senators Push For The End of Mandatory Arbitrations
- NASD Fines Two Fidelity Brokerage Subsidaries $400,000 for Distributing Misleading Sales Literature Regarding Systematic Investment Plans Sold to Military Personnel
- SEC Orders Morgan Stanley to Pay $7.9 Million for Failing to Provide "Best Execution" on Client Trades
- Is the Stock Market Boom Really a Bust?
- State Securities Registration Laws Will No Longer Apply to Nasdaq Capital Market Listed Securities
- Former Morgan Stanley Compliance Officer And Her Husband To Plead Guilty For Involvement In Insider Trading Scheme
- A Warning on Risk in Securities backed by Commercial Mortgages
- Ex-Morgan Stanley Client Services Representative Stole Proprietary Information About Hedge Funds, Says U.S. Attorney Michael Garcia
- Securities and Exchange Commission Charges Ex-Portfolio Manager With Failing To Disclose Personal Stock Transactions
- URGENT UPDATE: Edward Jones Seeks to Settle All Claims "Known and Unknown" for $18.00 per Current and Former Client Unless They Take Action Before June 11
- Securities and Exchange Commission Looks At Arbitration
- Edward Jones Issues Settlement Checks To Customers as Ordered by SEC for Kickback Scheme
- Examining SEC Chairman Christopher Cox’s Leadership
- Study by NASD Foundation Looks At Why Elderly Are Vulnerable To Investment Fraud
- All Sides Want SEC Support In Case Involving Liability Of Second Parties
- The 10 Leading SEC Enforcement Developments Of 2006 (Part II)
- The 10 Leading SEC Enforcement Developments Of 2006 (Part I)
- Registered Limited Liability Partnerships Interests Investment Contracts Are Within Federal Securities Laws’ Meaning, Says U.S. Court of Appeals for the 11th Circuit
- SEC Commissioner Says Simplified Disclosure Document Will Help Retirees Make Investment Decisions
- NASD Hearing Panel Sanctions Former Knight Securities Executives for Supervisory Failures
- Enron Shareholders Want The U.S. Supreme Court to Review 5th Circuit Certification Decision
- NASD Warns Investors - Not Brokers - of the Risks Associated with Using Margin to Purchase Securities
- JP Morgan Chase and Co. Not Liable For Securities Fraud Related To Enron Collapse, Says New York District Court
- Citigroup May Reduce Compliance in Cost Cutting Move.
- Commodities Regulators Accuse Firms of Misrepresenting Public
- NASD Form U-5 Notice of Termination Statements Are ‘Absolutely Privileged,’ Says A Divided New York Court of Appeals
- Purchasers of USA Capital First Trust Deeds May Have Been Defrauded
- Is the Arbitration System Stacked In Favor Of Brokerage Firms and Against Investors?
- Court Rules That SEC Exceeded Authority With Decision Regarding IAA Exemption
- SEC Charges Two Former In-House Enron Attorneys With Violating Securities Laws
- U.S. Senator Durbin Wonders Whether Smaller Budget Can Satisfy the Commodity Futures Trading Commission’s Urgent Needs
- Enron Litigation Continues With Actions by Stockholders and Regulators of Accounts.
- Goldman Sachs Affiliate Agrees To Pay $2 Million in Fines and Penalties Over Short-Sale Scheme Charges by NYSER and the SEC
- New Regulations, Filed By The Massachusetts Securities Division, Define Credentials Standards For Advisors To Senior Investors
- More Good News for Morgan Stanley! Record Earnings, a Jury Verdict Overturned and a Slap on the Wrist by Regulators.
- Appeals Court Shoots Down Enron Stock Victims, But Leaves Door Open to Law Suits and Arbitration Claims.
- Banc of America Securities LLC to Settle SEC Charges By Paying $26 Million In Penalties and Disgorgement
- In Hi-Tech Market Manipulation Case By Unknown Traders, Securities and Exchange Commission Freezes $3 Million To Protect Brokerage Firms
- NYSE Regulation Fines Swiss American Securities Inc. and UBS Securities, LLC For Violations
- The SEC And The U.S. Attorney’s Office File Separate Criminal And Civil Actions In Major Insider Trading Schemes Involving Confidential Information From UBS Securities And Morgan Stanley
- SEC Charges Against Two Former Citigroup Officials For Fraudulent Fund Dealings Are Dismissed
- Former UBS Vice President Pleads Guilty To Conspiring With Hedge Fund Operator And Founder Of Capital Management Group To Bilk At Least $2.5 Million From Over 40 Investors
- Putnam Retail Management, Scudder Distributors, and AllianceBernstein Investments Say They Will Pay $700,000 Settlement Over NASD Allegations That They Violated Non-Cash Compensation Rules
- The NASD Charges Two Former Prudential Brokers And A Branch Manager With Helping A Hedge Fund Manager Engage In Market Timing Through Variable Annuities
- U.S. Bankruptcy Court Says Bear Stearns Must Pay More Than $125 Million for Collapsed Hedge Fund Fiasco
- Former Prudential and E.F. Hutton Exec. Weighing Problems at Current Firm.
- Morgan Stanley and LVMH Settle Analyst Defamation Suit
- Why Regulators Have A Hard Time Charging Executives At Prominent Securities Firms
- Few Brokerages Disclose “Shelf Space” Agreement Details
- Raymond James Financial Services Is Fined $2.75 million By NASD
- Recent Actions By The SEC Brings Up The Question: Is It On The Side of Individual Shareholders Or Does It Protect Accountants And Corporate Executives?
- Merrill Lynch Settles Class Action Lawsuits With Mutual Fund Investors Regarding Analyst Research And Internet Companies
- NASD Warns Seniors About Selling Life Insurance Policies For Cash
- According to NASD, Banc of America Investment Services Inc. Agrees To Pay $3 Million For Failing To Comply With Anti-Money Laundering Requirements
- Securities Officials In Massachusetts File Charges Against Bulldog Investors And Principal, Phillip Goldstein
- MBIA Inc. Will Pay $75 Million To Settle SEC Securities Fraud Charges
- Arbitration Panel Concludes that Former Gemstar CEO Must Pay Company $93.6 Million
- Securities and Exchange Commission Charges Clarion Management LLP and Its Hedge Fund Manager With Involvement In Alleged Market Timing Scheme
- Co-Founders of Hedge Fund, HMC International, To Pay More Than $4.5 Million In SEC Fraud Charges
- Securities and Exchange Commission Approves Improvements To The NASD’s Code of Arbitration Procedure
- SEC Says Broker-Dealers Are Not Following Supervisory Procedures
- American Association for Justice Asks SEC To Publicly Disclose Relationship To Merrill Lynch
- Former Putnam CEO Agrees To Pay $75,000 In SEC Charges
- JP Morgan Chase Reports Strong Profits For 4th Quarter From Investment Banking Growth And The Sale Of Their Trust Unit
- In Alleged $194 Million Scam, Florida Hedge Fund Operators Of KL Financial Group Face Fraud And Other Criminal Charges
- In $1 Billion Viatical Scheme Connected To Mutual Benefits Corp., A Doctor From South Florida Pleads Guilty
- NASD Accuses Morgan Stanley Of Failing To Hand Over Emails And Blaming 9/11
- Hampton Porter Investment Bankers's Stockbrokers, Convicted For Securities Fraud In Pump-And-Dump Scheme, To Be Sentenced This Year
- N.Y. Attorney General’s Office Sues UBS Financial Services, Inc.
- NASD Arbitration Panel Says Ameriprise’s Securities America Must Pay Retired American Airline Pilots Up To $9.3 Million
- SEC Files Lawsuit Against Hedge Fund Manager Over Pipe Trading Scheme
- Morgan Stanley Awards CEO John Mack $40 Million Bonus
- SEC’s Enforcement Division To Redress Legal And Regulatory Violations
- For Securities Fraud, Theft, And Racketeering, Colorado Appeals Court Affirms Financial Adviser's 100-Year Prison Term
- SEC Wins Liability Ruling V. 800America.com Inc. Principal
- Johnson Capital Management Inc. and Samaritan Asset Management Services Inc. Are Sued For Alleged Illegal Market Timing Scheme
- NASD and NYSE Group Inc. Move Toward SRO Merger
- For Investors, REIT’s Go Global
- SEC Files Emergency Action Against BMG Advisory Services Inc. And Ethan Thomas Company To Stop Alleged $2 Million Senior Citizen Investor Fraud Case
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