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  1. Articles

    Four top executives of private-placement syndicator DBSI head to jail for fraud

    Four top executives of DBSI Inc., one of the leading syndicators of private-placement investments, were convicted by a federal jury on multiple counts of fraud.

  2. Articles

    Cybersecurity gets the SEC's attention as agency plans to query advisers on safeguards

    In risk alert, regulator provides advisers with a detailed checklist of what it expects firms to provide for cybersecurity protection.

  1. Articles

    Coming off yesterday's big bounce, futures do not look bright for today

    Breakfast with Benjamin: Backing off the big bounce. Plus: Bill Gross confesses, Bank of America pays for cheesy marketing tactics, investing in wind energy and an urgent reminder to change those passwords

  2. Articles

    UBS, Merrill push to keep bond fund hearings in Puerto Rico

    In confidential meeting, firms' attorneys oppose allowing arbitration cases to be heard in Southeast venues.

  3. Articles

    Citigroup's Mexican unit under FBI scrutiny for alleged fraud

    Breakfast with Benjamin: Citi under the FBI microscope. Plus: Using P/E ratios to dispel bubble theories, re-calculating the size of the nation's oil reserves, big banks and big overdraft fees, GM and political grandstanding, and it's always a good time to teach kids about money.

  4. Articles

    When women-run retirement funds beat the boys

    Breakfast with Benjamin: Women-run retirement funds have consistently higher returns than those run by men. Here's why. Plus: Four data points to watch this morning, dealing with a bankrupt hedge fund, how the FBI is watching high-frequency trading, and April Fool's Day around the web.

  5. Articles

    Morgan Stanley broker charged in $5.6M insider trading plot

    Elaborate scheme allegedly included destroying evidence by eating Post-It notes beneath the clock at Grand Central Terminal

  6. Articles

    Finra freezes new arbitration cases in Puerto Rico

    Finra freezes new arbitration cases in Puerto Rico as a flood of claims sends the regulator scrambling to find more arbitrators. Bruce Kelly has the story.

  7. Articles

    Former NAPFA chairman Spangler gets 16 years for fraud, must pay $19.8M in restitution

    Thirty-two criminal counts include money laundering, investment adviser fraud, wire fraud.

  8. Articles

    SEC charges pair of brokers, investment advisory firm, others with $80M variable annuity scam

    The SEC charged a pair of brokers, an investment adviser and others in an $80 million variable annuity scam that an SEC official called a "calculated fraud exploiting terminally ill patients."

  9. Articles

    Finra fines two IBDs owned by Ladenburg Thalmann a total of $1.275M

    Triad Advisors, Securities America failed to supervise reps who created and sent inaccurate consolidated account statements to clients, regulator says.

  10. Articles

    Finra's BrokerCheck comes under fire

    Database omits bankruptcies, tax liens, and other vital information, lawyers group claims

  11. Articles

    SEC moves to halt pyramid scheme promoted through Facebook, Twitter

    Regulator freezes assets of overseas firm that had bilked $300,000 from 15 U.S. investors.

  12. Articles

    Former adviser to the stars hit with fraud charges

    Financial adviser allegedly spent more than $10K on someone else's credit card

  13. Articles

    Ex-Merrill adviser sentenced to 10 years in prison

    A former Bank of America Merrill Lynch financial adviser was sentenced to 10 years in prison for running a Ponzi scheme that defrauded at least six investors of $2.7 million. Mason Braswell has the story.

  @IN Wire

Mar 07 10:29PM
10 professions that need the most coffee to survive - I Love Coffee
Mar 07 10:00PM
"J.P. Morgan Securities goes on recruiting offensive" good read

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