Dube failed to provide commission with documents on eight separate occasions, regulator claims; administrative hearing pending
Co-managers of ultra-concentrated fund put entire net worth on the line
But list from Commission does not show which companies actually took action; fuel to the fire?
TCW has doubled his mutual fund assets from 2009, when Jeffrey Gundlach's departure led to a number of client defections
Angry that ex-employer is trumpeting Lipper award for fund he used to run
Governors say central bank could cut money-fund firms off at the source; 'capital drain'
SEC chairman stands her ground in testimony before Congress; industry dubs reform 'deadly medicine'
'We are waiting direction from the chair,' says deputy director of Investment Management Division
Scottrade, Russell out of the pool; FocusShares failed to gain investors' focus
Nimbler exchange-traded fund outperforming flagship mutual fund by yards; 'difficult to beat the market when you are the market'
Knight Capital Group Inc. opened its books to potential buyers, including private-equity firms and at least one securities-industry rival, as it seeks an investment or takeover to survive after a $440 million trading loss.
A veteran regulator who has been instrumental on issues involving the investment advisory sector is leaving the Securities and Exchange Commission.
Knight Capital Group Inc. (KCG) has “all hands on deck” and is in close contact with clients and counterparties as it tries to weather trading errors that cost it $440 million, Chief Executive Officer Thomas Joyce said.
A reported inquiry by the Labor Department into a popular stable-value fund could could cause serious headaches for advisers
Stocks returning 6.6% above inflation a thing of the past, says Pimco bond king; 'cult of equity is dead'
