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The regulator alleges that the brokers churned the accounts of 24 customers, using margin and risky securities to generate huge commissions.
An advisor in his 70s was found guilty of funneling client money to a horse racing firm and small, thinly traded companies in exchange for secret kickbacks.
An investment firm chief who is the ex-husband of Jamie-Lynn Sigler pleaded not guilty to federal charges that he ran a scheme to manipulate stocks.
The SEC today approved a Finra proposal that would prohibit brokers from paying off customers in exchange for an uncontested expungement hearing.
U.S. investors are used to treating money-market mutual funds as the equivalent of a checking account, but that is about to change for the riskiest of the funds.
Castle Rock's AXIS program will be used by the AIG Advisor Group to comply with retirement plan regulations, AIG says.
Advisors should warn clients about the dangers lurking in cyberspace, a PricewaterhouseCoopers executiive says.
Raymond James Financial Services is pursuing more than $800,000 from a former financial advisor the firm claims swindled a 96-year-old client suffering from dementia.
A University of Florida finance professor has been named director of the SEC unit in charge of evaluating the costs and benefits of proposed rules.
Financial Advisor Blogs
Portfolio Manager Insights
The top 10 reasons why the US stock market is not in a bubble can be summarized in a countdown list. + Read more
Risk management failed dramatically during steep market drops since '98, and we argue that's because too much focus has been placed on backward-looking risk measures and not enough on scenario analysis. + Read more