You've heard about those phony client account statements from Bernard L. Madoff Investment Securities - now you can see one (IA Watch, Nov. 13, 2009). ...
Not only will 2009 become history when this month ends but, barring SEC action, so will a two-year-old temporary rule that allows dually registered firms ...
As the House prepares to vote the week of Dec. 7th on comprehensive financial regulatory reform legislation, the head of the North American Securities Administrators ...
FINRA has come down hard on a broker for more than $1 million in improper soft dollar payments, including $13,700 for a hedge fund manager ...
A jury has found a former Fidelity trader liable of insider trading for tipping his mother on pending trading information for advisory clients. While DavidDonovan ...
This one must have gotten lost behind a filing cabinet. The SEC last week released a no-action letter from 1996. It related to when an ...
IA Watch has obtained testimony that appears to support allegations of insider trading at the RIA Pequot Capital Management (IA Watch, Jan. 12, 2009). The ...
The performance software system will permit the advisory firm to easily send out quarterly statements to clients. But it comes with a price tag: $150 ...
The investor, a religious group, placed restrictions upon the investment adviser managing its account: buy no tobacco stocks. A purchase of Sara Lee securities seemed ...
If you don't do it already, you might want to consider encrypting any e-mails your firm sends that include customers' names in combination with something ...