Judge orders repayment in suit filed by the Labor Department
Shielding assets now a prime concern of the rich; different states, different rules
State regulators angered by 'astonishing attack...on federalism'; some claim measure paves the way for Finra oversight
Next Financial Group Inc. has agreed to pay $2 million in restitution to clients who bought oil and natural gas private placements of Provident Royalties LLC.
Dear slams 15% rate for PE firms, citing its 'gross unfairness'
Even with much higher rates, Bain had little trouble attracting capital
The legalization of same-sex marriage last month in New York already is sending gay and lesbian couples to their financial planners for advice.
Suit charges regulators with conspiring to put his firm, North American Clearing, out of business
Lousy investment performance apparently drove four clients of a financial adviser in Speyer, Germany, to kidnap the adviser and torture him for four days last week, according to published reports.
Finra requested comments two weeks ago about disclosing more info through BrokerCheck - including brokers' exam scores. Reps' responses? Less is more.
The Financial Industry Regulatory Authority Inc. is looking for input on how it can increase investor use of its BrokerCheck system.
Brokerage ordered to pay $3.7M for jacking up prices on tax-exempt bonds and CMOs; head trader suspended
