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Investment Advisor
February 2010 |
Securities Lawsuits Down The number of federal securities class action law suits filed dropped sharply in 2009.   |
Investment Advisor
September 2009
Melanie Waddell |
Suits Against Financial Firms Driving Litigation Activity In the first half of 2009 suits against financial services firms and foreign firms increased. |
Investment Advisor
April 2009
James J. Green |
B/D Briefing: Calm Before the Storm? A new report found that the average securities class action settlement was halved in 2008, but the authors of Securities Class Action Settlements: 2008 Review and Analysis, caution that the reported decrease doesn't constitute a trend. |
Registered Rep.
September 1, 2006
Kristen French |
Class Act Securities class-action lawsuit filings were at their lowest level in a decade in the first half of this year, according to a recent report. |
Investment Advisor
May 2010
Melanie Waddell |
Settlements On Rise The total value and number of securities class action settlements increased in 2009 to $3.8 billion. |
BusinessWeek
September 17, 2009
Michael Orey |
Commentary: Do Shareholder Class Actions Make Sense? Not when they extract payments from innocent shareholders and let fraudsters off the hook. |
OCC Bulletin
June 26, 2003 |
Securities Offering Disclosure Rules Reporting and disclosure requirements for National Banks with securities registered under the Securities Exchange Act of 1934 |
BusinessWeek
February 27, 2006
Lorraine Woellert |
Fractured Class Actions Opting out of class settlements in hopes of winning more money are growing headache for companies. |
OCC Bulletin
January 15, 2004 |
Reporting and Disclosure Requirements for National Banks with Securities The final rule, entitled "Reporting and Disclosure Requirements for National Banks With Securities Registered Under the Securities Exchange Act of 1934; Securities Offering Disclosure Rules," amends 12 CFR 11 and 12 CFR 16. |
The Motley Fool
April 21, 2004
Bill Mann |
Attack of the Killer Attorneys It's inevitable in every investor's career that he or she will hold a company that will attract class action lawsuits alleging some form of securities fraud. |
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. |
CFO
April 1, 2009
Russ Banham |
A Tale of Two Markets Are your directors'-and-officers' liability insurance premiums about to soar? That depends on which industry you're in. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
InternetNews
January 6, 2005
Colin C. Haley |
Report: WorldCom Class-Action Accord Near Former directors said to settle a suit stemming from accounting fraud for a total of $54 million. |
Pharmaceutical Executive
July 1, 2005
Palmer & Hammel |
Legal Forum: Loss Causation Through the Dura Pharmaceuticals case, the Supreme Court finds that investors can't sue based on alleged price inflation alone. |
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. |
Pharmaceutical Executive
September 1, 2005 |
Legal: Jumping the Pond Class-action lawsuits are commonplace in the United States. Now, aggregate litigation is a looming threat in Europe. |
Investment Advisor
March 2007
Melanie Waddell |
States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority. |
Registered Rep.
February 11, 2004
John Churchill |
Dueling Trend Lines on Complaints Brokers have become more attuned to investor complaints in recent years, but they must be forgiven if they're having a hard time drawing conclusions from the trend numbers reported by regulators. |
Registered Rep.
September 3, 2008
John Churchill |
Brokers Charged In Fraudulently Selling $1bn Of ARS To Retail Clients In the first case of its kind, the SEC announced today that it has charged two individual financial advisors with fraud related to the sale of more than $1 billion in auction-rate securities. |
The Motley Fool
December 7, 2005
Rich Duprey |
Inside the SEC Filing Maze Need help digging out information before you invest? Let us give you a hand. Here's a map to some of the best sites to help you navigate the maze. |
InternetNews
June 8, 2004
Kevin Newcomb |
Salesforce.com Hits Bump on Road to IPO Excessive media coverage has caused the on-demand CRM provider to delay its offering, but the road to an IPO has now been cleared. |
Registered Rep.
July 29, 2013
Steven Kolinsky |
How I Survived a High Profile Lawsuit Working with celebrities comes with benefits. But you need to fully understand the risks to your business and name if that relationship turns sour. |
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. |
IndustryWeek
December 1, 2007
Jill Jusko |
Trying Times for IP Protection Intellectual property disputes appear on the upswing as other litigation declines. |
Investment Advisor
July 2007 |
Group Think The Financial Planning Association told the U.S. Court of Appeals for the D.C. Circuit... The Social Investment Forum reported that investors are filing a record number of social and environmental shareholder resolutions... etc. |
Commercial Investment Real Estate
Nov/Dec 2013
Taylor & Trowbridge |
Group Investing Update Changes to securities laws may change your business model. |
InternetNews
May 8, 2009
Andy Patrizio |
Sun Faces Suit Over Oracle Deal, Bribery Probe Three suits are filed to stop the Oracle takeover, while the company looks into possible overseas bribery incidents. |
The Motley Fool
September 20, 2010
David Lee Smith |
Chevron's New Offensive in Ecuador Trial The Chevron-Ecuador suit, first filed in 1993, sees another twist. The second-largest U.S. oil company is involved in a 17-year-old lawsuit originally filed on behalf of indigenous tribes in Ecuador. |
Financial Planning
July 1, 2011
Donna Mitchell |
Hot Topics FINRA steps in... $80 million settlement of two class-action suits by Securities America... Whistleblower payday... |
BusinessWeek
January 13, 2011
Linda Sandler |
Big Banks with Big Legal Bills Mortgages, Madoff, and Lehman may add to the tab at JPMorgan. |
Investment Advisor
May 1, 2011
Janet Levaux |
Securities America Denies Charges of Departing Reps Anonymous sources insist advisors are leaving or planning to leave the firm |
Investment Advisor
February 2008 |
B/D News & Products The Financial Services Institute announce that its board of directors elected Brian Murphy, chairman of Woodbury Financial Services, as chair for 2008... There's a new rate for fees paid under Section 31 of the Exchange Act... etc. |
AFP eWire
August 25, 2004 |
IRS to Crack Down on Section 527 Organizations Section 527 political groups, which have become very controversial during the current Presidential campaign, will now have to be more accountable to the Internal Revenue Service. Charities have not been unaffected by the controversies |
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. |
Registered Rep.
July 25, 2006
Tami Kamin-Meyer |
One Class Act You Don't Want To Get In On Financial advisors, beware. If you transfer assets belonging to a number of your clients without their authorization -- even if you've done so in anticipation of a downturn in the market -- your next stop won't necessarily be an arbitrator's table. It could be a court of law. |
OCC Bulletin
October 6, 2005 |
Electronic Filing and Disclosure of Beneficial Ownership Reports This final rule, which applies to national banks that register their securities with the Office of the Comptroller of the Currency, amends the OCC's rules governing application of Securities Exchange Act disclosure rules to national banks (12 CFR 11). |
Registered Rep.
January 1, 2005 |
An Encouraging Sign Is the worst of the arbitration onslaught over? Through October, there were 7,008 complaints filed with the NASD. |
Wall Street & Technology
July 1, 2005
Maria Santos |
Fast Facts According to the Securities Industry Association's 2004 Investor Survey, nine out of 10 investors are "very" or "somewhat" satisfied with the service provided by their investment professional. |
The Motley Fool
October 16, 2008
Zoe Van Schyndel |
The Risky Business of Securities Lending Is your mutual fund betting with your money? |
Investment Advisor
October 2006
Palash R. Ghosh |
Remember To Pay The Mortgage Mortgage-backed securities, a somewhat overlooked, though very large, section of the fixed-income universe, are becoming more attractive to investors in light of a softening housing market and slipping Treasury yields. |
Investment Advisor
November 2007
Thomas D. Giachetti |
Confusion and Misinformation Experience has shown us that the presence of hedge clauses will not guarantee that a client will not bring a cause of action against the advisor. When it comes to hedge clauses, specificity is the order of the day. |
The Motley Fool
May 3, 2005
Dayana Yochim |
When to Downsize Your Pro Good, affordable financial help is so hard to find these days. You should settle for nothing less. |
OCC Bulletin
May 22, 2002 |
Unsafe and Unsound Investment Portfolio Practices Description: Supplemental Guidance This bulletin alerts banks to the potential risk to future earnings and capital from poor investment decisions made at the current low level of interest rates... |
Investment Advisor
March 2008
Kara P. Stapleton |
Keeping Up Quote: Rob Hegarty, managing director of TowerGroup's Securities & Investments practice. |
Registered Rep.
September 3, 2003
David Gaffen |
NASD: Brokers With Complaints Need A Watchful Eye Heed the red flags. This is the thrust of a new NASD proposal that would require brokerage houses to devote extra supervision to reps with extensive numbers of complaints or regulatory actions against them. |
The Motley Fool
December 14, 2010
Dayana Yochim |
How to Tell Your Advisor's Real Agenda This four-step background check will reveal whether you're about to get sound advice, or advice that just sounds good. |
The Motley Fool
April 19, 2010
Jennifer Schonberger |
The S&P 500's Biggest Movers Regulatory news puts a dent in the market. |
| Knowledge@Wharton |
Global Securities Markets Present Tough Challenges for Investors and Regulators The bursting of the Internet bubble, the collapse of Enron and the emerging demutualization of securities exchanges, especially in Europe, have brought the role of securities market regulators into sharper focus than before... |
Financial Planning
April 1, 2005
Steven K. McGinnis |
Tin Shields As investor lawsuits mount, errors and omissions insurance has become harder to get--and easier to lose. |
