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Registered Rep.
September 21, 2007
Christina Mucciolo |
SEC charges 38 in Multi-Million Dollar Stock Loan Kick-Back Schemes Stock loan traders worked with phony stock loan "finders" to skim profits in the form of finder fees, and then took cash kick backs from these finders.   |
BusinessWeek
March 12, 2007
Matthew Goldstein |
Homing In On Trading Abuses Do allegations that a UBS worker sold info to hedge funds signal a growing problem? |
The Motley Fool
January 30, 2008
David Lee Smith |
Who's in the FBI's Crosshairs? The Feds are targeting 14 companies to probe the subprime shenanigans. But it won't identify which. |
BusinessWeek
July 9, 2007
Roben Farzad |
The Street's Next Big Scandal Are traders and hedge funds colluding to profit from privileged information? |
The Motley Fool
September 6, 2007
Matt Koppenheffer |
Investment Banking: Capital Markets and Proprietary Trading One function of major investment banks is capital markets and proprietary trading. For those who need capital, and those looking for a home for their capital, investment banks function as the middleman. |
The Motley Fool
May 12, 2010
Alex Dumortier |
Morgan Stanley Wishes It Weren't Like Goldman U.S. prosecutors are investigating whether Morgan misled investors in mortgage derivatives; similar to the charges against Goldman Sachs. |
Registered Rep.
May 13, 2010
Kristen French |
Widening Probe of Wall Street Firms Further Raises Profile of Fiduciary Issue With news Thursday that a preliminary criminal investigation has been launched into some of Wall Street's biggest firms concerning potentially misleading sales of CDOs to clients, the fiduciary train is set to gain additional momentum in Washington. |
BusinessWeek
July 30, 2007
Matthew Goldstein |
Profiting From Mortality Death bonds may be the most macabre investment scheme ever devised by Wall Street. What especially worries regulators are so-called stranger- initiated deals, in which an investor persuades people to take an expensive policy and lends them money for the premium. |
The Motley Fool
May 10, 2011
Cindy Johnson |
How Will Banks Make Money for Real? Declining loan losses are a large but unsustainable source of bank profits. |
The Motley Fool
August 16, 2007
John Rosevear |
Buying a Home During the Storm Essentially, what's going on is that the mortgage industry -- along with Wall Street -- is rethinking the appropriate pricing for taking on the risk of a borrower with a less-than-prime credit history. |
Registered Rep.
March 1, 2008
Kristen French |
The Lending Squeeze The tightening credit conditions is causing some financial advisors to have trouble getting loans for clients. |
BusinessWeek
October 20, 2003
Dwyer & Thornton |
Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others? |
CFO
January 30, 2004
Tim Reason |
Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds. |
Registered Rep.
December 17, 2007
John Churchill |
Advisors Should Learn From Student Loan Investigation Allegations from an ongoing lawsuit should serve as a reminder to financial advisors that whatever services they offer to clients as part of a financial solution -- whether it's a mortgage or a mutual fund -- they had better disclose any conflicts of interest. |
The Motley Fool
May 17, 2010
Matt Koppenheffer |
Defending Wall Street The criminal investigations that are being launched against Wall Street firms are woefully misdirected. |
BusinessWeek
October 31, 2005
Mara Der Hovanesian |
Hedges: The New Corporate ATMs Hedge funds and other institutional investors are lending money to corporations as banks get pickier. |
The Motley Fool
March 28, 2007
Rick Aristotle Munarriz |
Leave It to Beazer Things keep getting worse for Beazer Homes. Its shares were sent tumbling in after-hours trading last night, as the media disclosed that the company is under criminal investigation by the FBI over potentially aggressive lending tactics. |
U.S. Banker
June 2009
Davies & Marquez-Garrett |
Financial Misconduct Is Not Just a Civil Matter The FBI is shifting more than $75 million in resources from counterterrorism work to help sort through what has been characterized as "the wreckage of the financial meltdown," and financial industry professionals are bracing themselves for the newest wave of recourse: criminal prosecution. |
The Motley Fool
March 2, 2007
Matt Koppenheffer |
Quick Take: Brokerages' Sloppy-Looking Swaps Current trading around banks' debt could suggest trouble ahead. Investors may be concerned that risk wasn't adequately managed with regards to the mortgage loans the banks took on. |
Inc.
March 2005
Wendy Fried |
The Secret World of Finders Unlicensed finders -- intermediaries also known as business brokers or consultants who introduce businesses to investors for entrepreneurs -- are suddenly, uncomfortably, in the spotlight. |
BusinessWeek
November 13, 2008
Mara Der Hovanesian |
Who Crossed the Line on the Street? The hunt for lawbreakers tied to toxic mortgages is under way. |
CFO
September 1, 2006
Lori Calabro |
U.S. Deputy Attorney General Paul McNulty Paul McNulty, whose team of prosecutors has convicted some 30 CFOs in the past four years, talks about backdating, company cooperation, and why the government's Corporate Fraud Task Force isn't going away. |
BusinessWeek
June 12, 2006
Emily Thornton |
Inside Wall Street's Culture Of Risk Investment banks are placing bigger bets than ever and beating the odds - at least for now. |
BusinessWeek
May 12, 2011
Roger Lowenstein |
Wall Street: Not Guilty Why have no executives gone to jail for their roles in the financial crisis? Perhaps because risk-taking and stupidity aren't criminal. |
The Motley Fool
January 24, 2007
Mary Dalrymple |
Study Your College Loan Options Know when to use a private or a federal loan to pay your tuition bill. |
Registered Rep.
September 9, 2005
Stan Luxenberg |
Imagine 50 Eliot Spitzers When are mutual fund companies charging too much in advisory fees? What constitutes proper disclosure of revenue sharing? And which governmental authority has jurisdiction over these issues? |
BusinessWeek
May 11, 2011
Barrett et al. |
The Rajaratnam Conviction: How Big a Victory? Raj Rajaratnam's conviction is the biggest blow against insider trading in a generation. Unfortunately, the Galleon case shows the problem is worse than ever. |
BusinessWeek
April 23, 2007
Anne Tergesen |
The High Price Of Free Insurance Deals that fund, then buy out, big life policies may shortchange seniors. |
Financial Planning
September 1, 2008
Andrew Ackerman |
SEC Probes Wachovia The Securities and Exchange Commission enforcement staff has notified Wachovia Bank that they may recommend the SEC file charges against it, as a result of an investigation into alleged anti-competitive bidding practices. |
BusinessWeek
September 11, 2006
Mara Der Hovanesian |
Nightmare Mortgages They promise the American Dream: A home of your own - with ultra-low rates and payments anyone can afford. Now, the trap has sprung. |
The Motley Fool
April 25, 2011
Morgan Housel |
Why Big Banks Are Cheap Loans dropping; watch out below! |
CFO
April 1, 2003
Kris Frieswick |
Fraud Squad Federal investigators are on a crusade to elevate corporate misdeeds to criminal offenses. |
On Wall Street
July 1, 2013
Jeff Tjornehoj |
Investors Turn to Loan Participation Funds Investors yearning for income and fearing rising interest rates are clamoring for loan participation mutual funds and ETFs. |
The Motley Fool
October 16, 2008
Zoe Van Schyndel |
The Risky Business of Securities Lending Is your mutual fund betting with your money? |
Commercial Investment Real Estate
Nov/Dec 2009
Steve Bram |
Capital Markets Conundrum Are there viable solutions to today's financing puzzle? |
Registered Rep.
October 29, 2002
Rick Weinberg |
Morgan Stanley Opposes Fine Following the New York Attorney General's investigation of Merrill Lynch's research practices, the firm was fined $100 million. The attorney general's office is in the midst of an ongoing investigation of other firms, including Morgan Stanley, which is fighting back. |
The Motley Fool
October 22, 2007
Emil Lee |
Is the Carry Trade for You? A carry trade can be defined as borrowing at a low interest rate and then lending at a higher rate. Because carry trades are at the mercy of the liquidity of the markets, they are highly risky. Investors, beware. |
CFO
November 1, 2003 |
Wall Street Warrior Ten questions for New York Attorney General Eliot Spitzer. His one message for CFOs: "Be careful." |
CFO
February 1, 2005
Ronald Fink |
Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital. |
The Motley Fool
August 4, 2005
Lawrence Meyers |
Dueling Fools: Payday Loans Bull Don't be swayed by the negative press put out by anti-PDLers about people who get "sucked into the payday-lending treadmill." For every one of those, you'll find 10 who are thankful the industry exists. |
BusinessWeek
December 4, 2006
Moon Ihlwan |
Public Scorn For Private Equity Spurred by the outcry over huge profits, prosecutors are going after foreign firms. |
Financial Advisor
January 2004
Marla Brill |
Bank Loan Funds Regain The Spotlight Funds that invest in variable rate loans to below-investment-grade companies may sound like a gamble, but it's one that an increasing number of financial advisors worried about the impact of rising interest rates are willing to take. |
BusinessWeek
October 29, 2009
Henry et al. |
Credit Creaks into Gear With a big boost from the feds, investors again like securities backed by assets like car loans -- but it'll take years for lending to flow freely. |
Entrepreneur
June 2008
Crystal Detamore-Rodman |
How Low Can You Go? Refinancing could entrepreneurs lower monthly loan payments. |
The Motley Fool
February 1, 2010
Morgan Housel |
Banks Aren't Lending? Says Who? The popular chant that "banks aren't lending, banks aren't lending!" is grossly misconstrued. |
This Old House
Sid Davis |
Here's How to Finance Your Remodel Financing a remodeling project doesn't have to be a crap shoot. Here's a game plan for choosing the best deal. |
HBS Working Knowledge
August 28, 2014 |
Government Can Do More to Unfreeze Small Business Credit In part three of her series on the state of small-business lending, Karen Mills discusses how public-private partnerships and government guarantee programs have the potential to enhance economic growth. |
Entrepreneur
April 2007
Rosalind Resnick |
Loan Woes Question: I'm in the process of applying for a loan to start my business, and I just found out the bank is requiring me to sign a personal guarantee... Answer: Put yourself in your banker's shoes... |
The Motley Fool
August 13, 2004
Roy Lewis |
Tips on Deducting Loan Points With the flurry of new home purchases and refinanced mortgages, here is a brief discussion on the tax treatment of loan points. |
The Motley Fool
December 4, 2006
Dan Caplinger |
Avoid the Loan Sharks For those with less-than-perfect credit histories, there's a scary trend in personal finance these days. In the name of convenience, some borrowers are digging themselves into a hole from which they may never emerge. |
