Merrill Lynch's proposed settlement with ex-brokers was aimed at limiting litigation. But some lawyers say it may trigger more lawsuits. Here's why.
A New York brokerage and three of its executives have agreed to pay more than $6 million to regulators and exchanges to settle allegations they allowed some foreign traders to manipulate U.S. securities repeatedly through accounts the firm controlled.
The founders of Chicago investment advisory firm Advanced Equities Inc. were charged by the SEC in connection with two-private equity sales of an alternative energy company in 2009 and 2010.
Number of people under 45 who buy long-term-care insurance is on the rise; cheap premiums
About 80% of advisory firms now have written policies about social networking, compared with 64% last year and 43% in 2010, a recent survey of 555 compliance professionals found
