Regulation And Legislation

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TD a perfect 10 in aiding massive Ponzi scheme, claims Rothstein
NEWS REGULATION AND LEGISLATION MAR 05, 2012
TD a perfect 10 in aiding massive Ponzi scheme, claims Rothstein

Convicted scammer tars bank in sweeping accusation; also accuses lawyers

SIPC balks at Mets' request to throw out Madoff suit
NEWS REGULATION AND LEGISLATION MAR 05, 2012
SIPC balks at Mets' request to throw out Madoff suit

Asks judge to dismiss Sterling Partner's request for dismissal; trustee seeking $1B

Mets' owners shopped for fraud insurance: Madoff trustee
NEWS REGULATION AND LEGISLATION MAR 05, 2012
Mets' owners shopped for fraud insurance: Madoff trustee

Lawyer for Picard claims Sterling Partners priced policies to cover investments with Ponzi king; 'define fraud'

Lenny Dykstra sues JP Morgan over property deal gone bad
NEWS REGULATION AND LEGISLATION MAR 05, 2012
Lenny Dykstra sues JP Morgan over property deal gone bad

The former Mets and Phillies star says he didn't get the loan he wanted when he bought Wayne Gretzky's California mansion.

NEWS ALTERNATIVES MAR 04, 2012
Ex-real estate group head guilty of fraud

NEWS REGULATION AND LEGISLATION MAR 04, 2012
Broker charged with fraud in MedCap sales

NEWS REGULATION AND LEGISLATION MAR 02, 2012
Notable tax changes for 2012

Seven revisions, additions and restrictions from the tax man.

Scoundrel alert: SEC warns firms about policing of unauthorized trades
NEWS REGULATION AND LEGISLATION MAR 02, 2012
Scoundrel alert: SEC warns firms about policing of unauthorized trades

Wants advisory firms and brokerages to ramp up oversight; 'responsible risk-taking'

NEWS REGULATION AND LEGISLATION MAR 02, 2012
Pimco to drop out of securities industry group: Sources

Powerful fund firm said to be angered by AFS' stance on mortgage settlement

Bonds, fake bonds: $6 trillion in bogus Treasury notes seized
NEWS FIXED INCOME MAR 02, 2012
Bonds, fake bonds: $6 trillion in bogus Treasury notes seized

Fake securities found in safety depost boxes in Zurich; date back to 1934

U.S. 'overmedicated' by pill-pushing Fed: Grant
NEWS REGULATION AND LEGISLATION MAR 02, 2012
U.S. 'overmedicated' by pill-pushing Fed: Grant

Claims free-money policy and other interventions prolonging -- not curing -- what ails the economy

NEWS REGULATION AND LEGISLATION FEB 29, 2012
NASAA warns of investor harm if crowd-funding amendment passes

A last-minute effort by three senators to add what they call crucial investor protections to a bill designed to help small companies raise capital fails to address worries by state regulators that states will be prevented from reviewing securities offerings made over the Internet.

INsider: Tax hike arguments based on iffy math
NEWS REGULATION AND LEGISLATION FEB 29, 2012
INsider: Tax hike arguments based on iffy math

Calculating how much money would have been raised if rates were higher is weird science, at best

NEWS REGULATION AND LEGISLATION FEB 29, 2012
All-public panels are a hit with investors, Finra says

Opinion: Finra arbitration a wholesale abdication of legal rights
NEWS REGULATION AND LEGISLATION FEB 29, 2012
Opinion: Finra arbitration a wholesale abdication of legal rights

Odds stacked against investors, brokers

NEWS REGULATION AND LEGISLATION FEB 29, 2012
NASAA warns about shady characters infecting crowd funding

State securities regulators warned senators today about the potential dangers of legislation that would allow start-up firms to raise capital over the Internet.

Schapiro: Industry 'hue and cry' won't kill money fund reform
NEWS MUTUAL FUNDS FEB 28, 2012
Schapiro: Industry 'hue and cry' won't kill money fund reform

SEC boss says investors need protection -- and aims to provide it; 'working without a net'

NEWS REGULATION AND LEGISLATION FEB 27, 2012
OppenheimerFunds misled investors about souped-up funds: SEC

Firm allegedly failed to disclose use of derivatives in two funds adequately; agrees to pay $35M to settle the charges

NEWS ALTERNATIVES FEB 27, 2012
Former LPL rep sold TICs with "tricks,' lawyer says

NEWS REGULATION AND LEGISLATION FEB 27, 2012
Obama to the rich: Time to ante up