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Article Archive
- Supreme Court to hear suit over fees in retirement accounts
Finally, the Supreme Court will hear a case on whether investors can bring cases about the high fees so many mutual funds charge
- SEC charges L.A. businessman Bruce Friedman with securities fraud
SEC alleges another Southern California ponzie or "Madoff" scam, involving "secure CD like" investments
- Undisclosed Losses at Merrill Lynch Lead to a Trading Inquiry
Did Merrill Lynch brokers and traders get really reckless in the last days before Bank of America bought the firm?
- 14 Trading Firms Settle Charges for $69 Million
Trading firms taking advantage of customers, again.
- Morgan Keegan Pays $558,000 to Settle Complaint Regarding Late Trading
Morgan Keegan settled a complaint filed by the Securities and Exchange Commission alleging that it had permitted a Hedge Fund to purchase mutual fund shares after the deadline established for other investors.
- Morgan Keegan Fails To Disclose To Investors That It Was Paid To Conduct Some of Its Research
Morgan Keegan settled a Complaint filed by the Securities and Exchange Commission, alleging that some of the research it published was paid for by other investment banks that were representing the companies that were being researched.
- Morgan Keegan Fires Analyst For Leaking Information To Some Investors
In September 2008, Morgan Keegan fired an analyst, John Gwynn, for selectively leaking his analysis regarding Fairfax Financial, a Canadian-based company.
- Major stock market indexes fall to 1997 levels
Stocks Tumble Badly, What is Your Broker Saying
- New checks, balances coming to financial industry
Just in Time for Nobody, Talk of New Financial Regulations
- S.E.C. Fines Didn’t Avert Stanford Group Case
Even when the SEC or Finra takes the first step towards finding a huge fraud, their minor value fines and wrist slapping penalities aren't enough
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