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The Motley Fool
December 12, 2006
Dan Caplinger |
Crime at the Bond Desk Players in the $2 trillion municipal bond market face investigations. This latest scandal provides a valuable reminder: As investors, you must always be aware of the potential for abuse.   |
Registered Rep.
February 22, 2006
Halah Touryalai |
Brokers Headed for Sweep in Overtime Pay Cases? Stockbrokers have won their second big overtime pay case against Wall Street firms and this may only be the beginning of a rout that could cost brokerage houses many millions of dollars more. |
Registered Rep.
March 3, 2006
Halah Tourylai |
Third Wirehouse Coughs Up Millions In Overtime Cases Yesterday, Morgan Stanley became the third wirehouse, after Merrill Lynch and UBS, to settle class action suits with California brokers over overtime pay in the past seven months -- the second in three weeks. |
Financial Advisor
July 2004
Gail Liberman |
Muni Bond Funds Vs. Individual Bonds A new study says the funds are cheaper if you actively trade. |
Financial Planning
January 1, 2005
Humberto Sanchez |
The Muni Market Morgan Stanley pays for violating the disclosure rule in failing to disclose to purchasers of municipal bonds that the bonds could be called prior to their maturity dates. |
Financial Advisor
January 2005
Raymond Fazzi |
Flying Blind In The Bond Market Bond price reporting is improving, but many brokers still hide costs. |
The Motley Fool
June 28, 2005
Tom Taulli |
Milberg Weiss -- No Clothes? The law firm claims its mission is to protect investors. Well, the U.S. Justice Department appears to have a less optimistic view of Milberg Weiss. |
Registered Rep.
February 1, 2006
John Churchill |
Race Discrimination Cloud Hangs Over Good Year For Merrill Lynch and UBS, allegations of widespread racial discrimination put a damper on an otherwise stellar year for the firms. Both wirehouses were named in separate lawsuits seeking class-action status raised by black brokers who allege a pattern of discrimination at the two firms. |
Registered Rep.
March 1, 2003
David A. Geracioti |
In the Crosshairs An army of lawyers are about ready to file suits on behalf of aggrieved retail investors who claim to have lost money because of the conflict-of-interest scandal. |
The Motley Fool
April 30, 2009
Dan Caplinger |
Tools to Make You a Better Investor Brokers have been hurting, and you can take advantage. With brokers focusing on getting your business, you'll find them developing and expanding on tools that could help you invest more easily. |
BusinessWeek
November 19, 2007
Anne Tergesen |
Should You Buy from an Adviser? Brokerage firms may have incentives to push securities in their inventories. |
Investment Advisor
October 2009
Chris Ryon |
Not Quite So Risky Business If your clients are invested in municipal bonds, you'd better brush up on how the recession has affected the pricing of those bonds. An exploration of credit risk and pricing in the muni market. |
Salon.com
January 28, 2002
Michael Drummond |
Class-action warrior When corporations run amok and accountants are shredding documents, who ya gonna call? Try lawyer Bill Lerach... |
The Motley Fool
September 13, 2007
Dan Caplinger |
Make a Mint With Munis With falling yields elsewhere, municipal bonds look more attractive. Traditionally difficult to buy, it is now a little easier to purchase them with a new ETF, the iShares S&P National Municipal Bond Fund. |
Registered Rep.
January 19, 2006 |
Is Supreme Court Leaning Towards a Decision Against Broker? The Supreme Court heard arguments yesterday in connection with a suit by a former Merrill Lynch broker against the nation's largest brokerage firm, and the early reaction to the hearing is that this time Goliath won. |
Registered Rep.
August 24, 2007
Halah Touryalai |
Overtime Claims Make Their Way To Schwab The lawyers involved in a number of overtime cases against major wirehouse firms, including UBS and Merrill Lynch, filed a new one against Charles Schwab in July. |
Registered Rep.
December 1, 2005
Kristen French |
Where's My Money? After California brokers won $37 million in an overtime lawsuit against Merrill Lynch in August, a slew of copycat lawsuits have been filed against other brokerage firms, many of them in New York. |
Financial Planning
September 1, 2007
Marshall Eckblad |
5 Questions Stan and Hildy Richelson, authors of Bonds: The Unbeaten Path to Secure Investment Growth, answer five questions about the recent volatility in the fixed income market. |
Financial Advisor
September 2005
Marla Brill |
The Case For Municipal Bonds Improving municipal bond yields could ease investor fear of rising interest rates. |
Registered Rep.
May 1, 2005
Richard Roth |
The Worst is Over---Probably It's clear then that brokerage firms and retail brokers alike will be glad when the all-clear has sounded and Wall Street can stop looking over its shoulder and get back to work. |
Financial Planning
May 1, 2011
Chris Shayne |
Individual Choice Although it's been hard to compare the transaction costs of individual bonds and bond funds, new research is making it easier. Here's a way to see what it costs individual investors to purchase each type of fixed-income product. |
The Motley Fool
May 6, 2010
April Taylor |
Fraud Charges Aren't Goldman's Only Worry Will the company need another transformation? |
U.S. Banker
July 2007
Karen Krebsbach |
Next for Top Court: Securities Fraud Whether banks that help public firms commit fraud are also liable soon will be a question before the Supreme Court. Its decision will affect litigants in the still-simmering Enron case. |
The Motley Fool
February 3, 2009
Dan Caplinger |
Betting on January's Big Winners For investors who dared to venture outside the stock box, January brought some good news. Within long-neglected asset classes, such as the corporate bond market, investors who beat the crowd reaped some healthy rewards. |
Financial Advisor
February 2012
Marla Brill |
Muni Bond ETFs Join The Charge For Yields Despite some concerns, investors are being drawn to muni bond ETFs for diversification, transparency and low costs. |
Registered Rep.
December 5, 2002
Rick Weinberg |
Tables Turned on Schwab? Suit claims Schwab, contrary to its ads, was not conflict free Merrill Lynch's David Komansky must be having a laugh. On Tuesday, a suit was filed in Los Angeles Superior Court claiming that Schwab was guilty of running television and other ads that materially mislead investors. |
BusinessWeek
April 1, 2010
Martin Z. Braun |
Can the SEC Get Its Street Cred Back? Elaine Greenberg is investigating abuses in the muni bond market, as the commission tries to rebuild trust. |
Financial Advisor
February 2, 2009
Bruce W. Fraser |
A Glimmer Of Rewards Prices on high-quality corporate bond issues represent a buying opportunity for advisors. |
Financial Planning
August 1, 2007
Matthew Posner |
The Bond Buyer The first municipal bond exchange-traded fund will be up and running by the end of this year as Barclays Global Investors iShares has filed a prospectus with the Securities and Exchange Commission outlining the new investment product. |
Registered Rep.
December 1, 2002
Ross Tucker |
Happy Holidays! You're Fired. The ax will fall at year's end for some 700 of 13,500 Morgan Stanley brokers. Some branches will be closed entirely. |
CFO
November 1, 2007
Kate Plourd |
What Goes Around In his heyday, Bill Lerach was so ruthless a class-action lawyer that in Silicon Valley his name was synonymous with being sued. Now Lerach is being "Lerached" himself -- to the great delight of much of the corporate community. |
Registered Rep.
December 3, 2002
Rick Weinberg |
Charles Schwab Accused of Its Own Conflict of Interest When big brokerage firms were being accused of conflict-of-interest in research, Charles Schwab & Co. was quick to capitalize on its rivals' embarrassment with a string of ads proclaiming Schwab's independence. But that was a lie, according to a lawsuit. |
The Motley Fool
April 13, 2010
Dan Caplinger |
The Tax-Smart Answer to Low Interest Rates Municipal bonds aren't risk-free, but they are attractive. |
The Motley Fool
May 20, 2008
Dan Caplinger |
The Financial Earthquake That Never Happened The recent Supreme Court decision will help keep the municipal bond market intact. |
The Motley Fool
January 28, 2008
Dan Caplinger |
Travel Abroad? Get Back Some Money It's time for credit card companies to pay you back. The result of a recent suit was a settlement that could get you some money back if you've paid currency-conversion fees while traveling in a foreign country between 1996 and 2006. |
The Motley Fool
January 25, 2010
Dan Caplinger |
Is California Dreamin'? Muni bonds are pricing in disaster. |
The Motley Fool
March 17, 2008
Morgan Housel |
This Could Be the End of Bond Insurance Just when it started to look a little better, bond insurers face a fatal blow. |
The Motley Fool
August 10, 2007
Rich Duprey |
When Sharks Attack What goes around, comes around. Milberg Weiss, pioneer of class action lawsuits, finds itself the target of one. The firm has been indicted on charges of paying kickbacks to clients for participating in its class action suits. |
Financial Advisor
February 2008
Marla Brill |
The Bond ETF Explosion The ETF space is getting crowded. The number of fixed-income exchange-traded funds has exploded to include both portfolios based on broad indexes as well as ETFs consisting of emerging market, municipal and high-yield securities. |
CFO
September 1, 2002
Lori Calabro |
I Told You So To controversial securities litigator Bill Lerach, the current wave of corporate fraud scandals was both inevitable and preventable. |
Registered Rep.
September 14, 2005
Kristen French |
Overtime Pay, Chargebacks Under Fire; Morgan Stanley Latest Firm in Lawyers' Sights A $450 million class-action lawsuit filed in New York against Morgan Stanley on Friday could have major implications for brokerages' pay practices in the state. |
Financial Planning
March 1, 2008
Dakin Campbell |
Muni Volume Plunges A dramatically changed municipal market and concerns relating to bond insurers have sent January new-issue volume plunging to levels not seen since September 2001. |
BusinessWeek
September 3, 2007
Jonathan Berr |
Shaky Times For Munis Depending on how the U.S. Supreme Court rules on an obscure point of tax law in its next session, the normally sleepy municipal bond market could be turned upside-down. |
Investment Advisor
November 2006 |
Still Getting It Done Wirehouses seem to be thriving in their retail businesses by using innovative strategies and very sophisticated products to solve problems for the wealthy.... Unsatisfied Women... |
Registered Rep.
December 1, 2002
David A. Gaffen |
Light A Candle, or Curse the Darkness For brokers and financial advisors, 2002 may be remembered as the year in which those who knew they had the right stuff redoubled their efforts to elevate their skills and become the kind of advisors who could survive the bear market and build a 21st century practice. |
The Motley Fool
January 24, 2011
Dan Caplinger |
Time to Sell This Junk? Junk bonds are getting pricey again. |
On Wall Street
November 1, 2008
J Gibson Watson |
Opportunities Stirring in the Municipal Market For now, munis are trading at tight premiums to Treasuries -- but don't assume that means they are risk-free |
Registered Rep.
December 1, 2002
Stan Luxenberg |
Calming the Terrified Client For most clients, however, there are options more lucrative than principal-protection funds that provide a respectable return without assuming the risk of straight equity funds. Consider, for example, closed-end municipal bond funds. |
Registered Rep.
October 30, 2008 |
Merrill's Retention Package: Just For White Guys? Stowell & Friedman, a Chicago-based law firm, files a suit against Merrill Lynch claiming African-American and female brokers at the firm have been largely excluded from its retention-bonus plan. |
Registered Rep.
February 1, 2003
Sam Jaffe |
Corporate Debt Goes Retail Thanks to a new product called retail notes, brokers can access investment grade corporate debt for their clients in $1,000 increments. All the different pieces that go into retail notes add up to an excellent product for income-desiring individuals. |
