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  1. Articles

    Adviser misused $8 million in client funds: SEC

    An investment adviser in Seattle fraudulently misused more than $8 million of client assets to make loans to himself, buy a luxury vacation home and refinance a vintage automobile, according to the Securities and Exchange Commission. According to an SEC administrative proceeding released on

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    Penny stock bust includes ex-husband of 'Sopranos' star

    One of those arrested, Abraxas 'A.J.” Discala, was married to Jamie-Lynn Sigler

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    Finra creates task force to determine arbitration improvements

    Over the last several years, the Financial Industry Regulatory Authority Inc. has undertaken initiatives to reform the investor dispute resolution system it administers. Now it's looking for outside input.

  2. Articles

    Markets climb in stride with pessimism

    Plus: Janet Yellen's dovish optimism, Ernst & Young's $4 million lobbying settlement, how Citigroup agreed on that $7 billion figure, and QE has had almost no impact on unemployment

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    Morgan fined $1 million in retired-broker snafu

    Wirehouse slapped with fine after Finra alleged it paid retired brokers $100M in commissions without making sure they had stopped providing advice.

  4. Articles

    SEC fines Missouri RIA for breach of fiduciary duty

    SignalPoint Asset Management failed to disclose conflicts of interest to clients, the SEC alleges.

  5. Articles

    Two brokers who claim Morgan Stanley misled them win back $5M arb award

    Appeals court reinstates arbitration panel's ruling that had been vacated by lower court.

  6. Articles

    Former rep indicted in $2.5 million investment fraud

    Patricia Miller promised clients high yields if they went into “investment clubs.”

  7. Articles

    Warning: This regulator eats what it kills

    At Finra, fines are less than 10% of the annual budget but make no mistake, they are important, says Mark Elzweig.

  8. Articles

    Finra fee hike not a terrible idea

    There are few times in life — very few — when paying more for something is good. Paying a little extra for additional safety and security comes to mind.

  9. Articles

    Finra trims operating loss but compensation costs climb

    Finra trimmed its operating loss last year, helped by a modest increase in revenue, but compensation and benefit costs continued to eat up a chunk of the SRO's funds. After eking out a slight net income gain, Finra set a rebate to member firms.

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    Finra seeks to tighten investor dispute rules

    New proposed rule would prevent people with industry experience from becoming “public arbitrator.”

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    Finra asks SEC to sign off on raising arbitration fees

    Finra has asked the SEC to approve a round of fee increases in its dispute resolution forum as it looks to boost pay for its force of around 6,300 arbitrators. The increase could add up to $400 per case,

  12. Articles

    TD Ameritrade, Schwab put third-party exams on lawmakers' radar

    Without outright endorsing the idea, executives say outside contractors should be considered as a way to increase oversight of RIAs.

  13. Articles

    Ex-Wells broker ordered to repay firm $1.2 million

    A Finra arbitration panel denied the broker's claim that Wells Fargo made false promises during recruiting.

  @IN Wire

Jul 23 09:00PM
?What have you done for me lately??
Jul 23 08:43PM
The retail money fund houses are clearly happy. Fidelity: "a reasonable balance" Vanguard: "rules preserve integrity of money funds"

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