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Registered Rep.
November 8, 2011
Jerry Gleeson |
Auction Rate Revenge For tens of thousands of investors who were trapped in the auction rate securities debacle that started in 2008, finances are getting back to normal.   |
The Motley Fool
March 7, 2008
Dan Caplinger |
Auction-Rate Anxiety The credit crisis hits leveraged mutual fund shareholders. |
Registered Rep.
August 7, 2008
John Churchill |
Citi Settles With SEC and Cuomo Over ARS Failure The firm has agreed to buy back auction rate securities sold to institutional and retail investors nationwide who've been stuck with the illiquid investment vehicles since February 12, 2008. |
Investment Advisor
April 2010 |
B/D News Licensing for insurers and brokers... scamming Madoff victims... NASAA's settlement with UBS... |
Registered Rep.
March 28, 2008
David A. Geracioti |
More Trouble In Auction-Rate Securities Land The State of Massachusetts Secretary of State is investigating the sales practices of auction-rate securities, to learn how these securities are presented to individual clients in the state. |
The Motley Fool
May 7, 2007
Tom Taulli |
HAL 9000 Hits Wall Street Meet Interactive Brokers, a next-generation electronic exchange with a perfectly timed IPO. |
CFO
July 15, 2009
Vincent Ryan |
Buyer's Remorse Treasury departments are still paying a price for auction-rate securities. |
The Motley Fool
August 20, 2009
Tim Beyers |
Should Your Broker Pay for Your Losses? When New York Attorney General Andrew Cuomo on Monday sued Charles Schwab for allegedly misrepresenting the risks inherent with auction-rate securities, he sent a message: Take care to warn investors early and often, or suffer the consequences. Is this a good idea? |
Registered Rep.
September 10, 2008 |
Bank of America to Buy Its ARs Back The nation's second-largest bank by assets settled an investigation by Massachusetts regulators, agreeing to buy back $4.5 billion worth of the securities. |
Registered Rep.
June 26, 2008
John Churchill |
Tough Morning For Brokerage Sector Stomachs are surely turning at the wirehouse brokerage firms this morning. |
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
April 18, 2008
Rich Duprey |
Auction Rate Agony Investors get frozen out of their money as auction rate securities shrivel. |
The Motley Fool
January 12, 2007
Dan Caplinger |
Buying Treasuries Direct You can buy bonds commission-free from the federal government. |
Registered Rep.
November 29, 2006
Halah Touryalai |
Merrill Lynch to Pay National Overtime Settlement The financial firm has decided to consolidate the numerous overtime lawsuits that have been filed against the firm and settle nationally with its brokers. |
Registered Rep.
October 8, 2008 |
Bank of America Reaches Second Settlement To Buy Back ARS The agreement closely mirrors the firm's earlier settlement with the Massachusetts Securities Division that was announced in September, 2008. |
Wall Street & Technology
May 19, 2008
Ivy Schmerken |
A Freeze in Auction-Rate Securities Opens a Door for the Restricted Securities Trading Network In the wake of the credit crisis, Restricted Stock Partners' Restricted Securities Trading Network, which was designed to trade restricted stocks, is rescuing investors trapped in auction-rate securities. |
The Motley Fool
May 21, 2010
Jennifer Schonberger |
The Senate's Cop Cracks Down on Financial Fraud "Fraud and potential criminal conduct were at the heart of the financial crisis," Senator Ted Kaufman (D, Del) said in a speech last month on the Senate floor. |
Registered Rep.
June 3, 2009
David Geracioti |
ARS Games -- SEC Blames Firms, Settles with BAC, RBC and DEUTSCHE When the auction rate securities market froze up in February 2008, angry clients blamed their financial advisors. |
The Motley Fool
September 16, 2008
Alex Dumortier |
Wall Street's $70 Billion Facade In the wake of Lehman Brothers' failure this weekend, 10 major banks, including the remaining investment banks, are creating a $70 billion fund that any one of the participants can borrow from in a crunch. |
Registered Rep.
June 1, 2008 |
The Real Rainmakers In total, about 50,000 securities industry employees in the United States lost their jobs this year. But not retail financial advisors; the wealth management units, by comparison, are doing very well. |
The Motley Fool
December 9, 2009
Russ Krull |
This Treasury Auction Warrants Your Interest Some banks have repurchased their TARP preferred stock, but not the warrants they issued to the government, leaving them to be auctioned off. |
Registered Rep.
July 31, 2008
John Churchill |
Massachusetts Says Merrill Defrauded ARS Clients Among the many claims against Merrill Lynch is that management censored otherwise gloomy fixed income research in order to move volatile inventory out of company inventory and into client portfolios. |
Financial Planning
August 1, 2008
Bob Veres |
The Big Regulatory Fix If the same few companies are behind virtually every major financial scandal and meltdown, why are the regulators talking about tightening up on all financial advisors? |
Wall Street & Technology
September 21, 2004
Paul Allen |
Basel II: Coming to America Now that the Basel II Accord will apply to the U.S. securities industry, some firms are playing catch-up. |
The Motley Fool
November 4, 2008
Alex Dumortier |
The Market Is Wrong on UBS UBS appears to have turned the corner in restoring investor confidence, but do fundamentals back this up? |
Investment Advisor
July 2006 |
B/d Briefing: News & Products The Securities and Exchange Commission announced on May 31 the institution of proceedings against 15 broker/dealer firms... In the past year nearly 200 advisors have been added to the H&R Block Financial Advisors team... etc. |
The Motley Fool
May 28, 2008
Tom Hutchinson |
Goldman Sachs Takes the High Ground The investment bank threatens to leave an international group over a proposed rule change for accounting. |
The Motley Fool
June 12, 2008
Tom Hutchinson |
The Award for Worst Bank Stock Goes to ... There has been much debate about whether we are through the worst of the credit crunch. In that spirit, let's choose the worst banking stock to own. Picking just one was no easy task. |
Registered Rep.
May 1, 2005
Will Leitch |
So They've Got That Going for Them...Which Is Nice For all the problems it's been having in the last several months, Morgan Stanley can hang its hat on this good news: It is now the largest securities firm in the country. |
Registered Rep.
June 9, 2008 |
Credit Downgrades, More Write-Downs And The ARS Market Credit downgrades to MBIA and AMBAC Financial Group, the world's largest bond insurers, will lead to more write-downs at Citigroup, Merrill Lynch and UBS, according to a new research report. |
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. |
The Motley Fool
November 8, 2007
Seth Jayson |
Morgan Stanley's Dog Food Diet Morgan Stanley announces massive write downs, and that it will not be updating investors on any further deterioration until Q4 numbers come out. |
BusinessWeek
September 16, 2010
Bradley Keoun |
Wall Street Trading Is Still a Black Box Firms, including Goldman Sachs, Citigroup, Bank of America, JPMorgan, and Morgan Stanley, lump trading results together, potentially masking risk |
The Motley Fool
November 30, 2007
Seth Jayson |
Paulson's Plan to Punish the Public Treasury Secretary Hank Paulson's plan to protect homebuyers from their mistakes -- extending loan teaser rates for a few years -- will punish us all. |
The Motley Fool
January 16, 2009
Matt Koppenheffer |
Is Moral Hazard Still a Bogeyman? Should we still fear moral hazard? The Philly Fed president thinks so. |
The Motley Fool
August 11, 2008
Rich Duprey |
The Auction-Rate Thaw Turns to a Flood Settlements by big investment banks may finally inundate the frozen market with cash. |
Registered Rep.
February 1, 2003
Will Leitch |
NASD Investigates Potential Breakpoint Violations The confusing slew of regulations that have followed on the heels of the Sarbanes-Oxley Act has tapped a strange feeling in brokers: the fear of violating securities rules unwittingly. A recent investigation by the NASD shows their worries are not unfounded. |
Financial Planning
August 1, 2008
Andrew Ackerman |
In First, Mass. Sues UBS In the first state-level lawsuit against an investment firm over auction-rate securities, Massachusetts has filed securities fraud charges against UBS for selling retail investors auction-rate paper as "liquid, safe, money-market" instruments even though the defendants knew it was not. |
The Motley Fool
August 27, 2007
S.J. Caplan |
Investor 007's Bond Dossier Bond basics and beyond. Spying on rates: U.S. Treasury -- 2-year... 5-year... Clues to the market... Detecting developments... Hot tip: Over the last two weeks, the commercial-paper market has become the latest casualty... |
The Motley Fool
April 19, 2010
Alex Dumortier |
Is JPMorgan the New Lehman? Think you know all the risks? Think again. |
Registered Rep.
October 1, 2002
Rick Weinberg |
Brokers Fear Arbitration... With arbitration cases on the rise, many brokers are worried about the prospect of being dragged through a legal process that, because of the current environment, some believe is heavily slanted toward the client. |
The Motley Fool
February 19, 2010
Alex Dumortier |
Is China Dumping or Accumulating U.S. Treasuries? Beyond the headline numbers. |
Registered Rep.
February 3, 2009
John Churchill |
Wachovia-UBS Hookup Rumored but Unlikely Here's a possible new twist in the changing financial services landscape: A report in the New York Post raises the possibility of a "joint venture" between the wealth management divisions of Wachovia Securities and UBS. |
The Motley Fool
July 14, 2009
Matt Koppenheffer |
Nothing's Changed in Banking The recent upending of the financial world seems to have yielded few results. |
The Motley Fool
November 25, 2009
Alex Dumortier |
Are Government Bonds the New Subprime? Unfortunately for government bond investors (and taxpayers), it's possible -- useful, even -- to make the comparison between government bonds and subprime assets. Here's why, and what investors should do about it. |
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? |
Reason
March 2009
Katherine Mangu-Ward |
Lender Ender Threats from state and federal regulators have led Prosper, an online auction site that allowed individuals to negotiate private loans, to suspend its operations and leaves its future uncertain. |
Bank Systems & Technology
October 14, 2008
Maria Bruno-Britz |
U.S. Govt. Unveils Bank Buy-in Plan Also, Treasury announced it will apply compensation restrictions to the most highly compensated executives down the corporate ladder. |
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. |
Wall Street & Technology
May 23, 2008
Larry Tabb |
In a Tumultuous Economy, Wall Street Must -- and Will -- Find a New Model As fixed-income markets falter and write-downs proliferate, investment banks need to discover new opportunities and new strategies to manage risk. |
