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3 May 2012, 11:58 am
The Financial Industry Regulatory Authority (FINRA) announced that it ordered Citigroup Global Markets, Morgan Stanley, UBS Financial Services, and Wells Fargo Advisors to pay more than $9.1 million for failure to supervise and failure to have a reasonable basis for recommending selling leveraged and inverse exchange traded funds. [read post]
3 May 2012, 7:18 am
In addition, the program must provide for appropriate staff training and oversight of service provider arrangements. [read post]
2 May 2012, 12:51 pm
The task force is working to improve efforts across the federal executive branch, and with state and local partners, to investigate and prosecute significant financial crimes, ensure just and effective punishment for those who perpetrate financial crimes, combat discrimination in the lending and financial markets, and recover proceeds for victims of financial crimes. [read post]
2 May 2012, 12:51 pm
The task force is working to improve efforts across the federal executive branch, and with state and local partners, to investigate and prosecute significant financial crimes, ensure just and effective punishment for those who perpetrate financial crimes, combat discrimination in the lending and financial markets, and recover proceeds for victims of financial crimes. [read post]
2 May 2012, 6:29 am
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
2 May 2012, 6:14 am
("Citigroup"), Morgan Stanley, UBS Financial Services, Inc. [read post]
1 May 2012, 8:08 pm
Good service provider due diligence is critical at any time but certainly if a plan sponsor is relying mostly on the capabilities of others, they need to feel confident that their advisors and consultants have a good handle on critical issues and potential solutions. [read post]
1 May 2012, 2:22 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision... [read post]
1 May 2012, 12:13 pm
He allegedly tried to hide his financial scam by sending fraudulent account statements to investors each month. [read post]
1 May 2012, 7:14 am
Many consumer contracts do not involve consumer financial products or services (e.g., mobile phone contracts and retail sales). [read post]
1 May 2012, 6:00 am
. **** May 1 Sponsor: Hedge Funds Care Event: Barley, Hops and Hedge Funds Care Spring Social Location: Atlanta, GA May 1 Sponsor: Infovest 21 Event: Meet the Managers Forum Location: New York, NY May 1-2 Sponsor: FMW Event: Risk Management for Non-Quants Location: New York, NY May 1-4 Sponsor: SIFMA Event: Operations Conference & Exhibit 2012 Location: Scottsdale, AZ May 2 Sponsor: 100 Women in Hedge Funds Event: Networking Reception Location: Santa Monica, CA May 2 Sponsor:… [read post]
30 Apr 2012, 12:13 pm
He allegedly tried to hide his financial scam by sending fraudulent account statements to investors each month. [read post]
30 Apr 2012, 9:50 am
Few individuals can match the range of Jane Harman’s expertise—from the armed services to intelligence to homeland security. [read post]
30 Apr 2012, 6:15 am
In fact, the only thing you’ve done that Republicans have not opposed was the pumping of untold trillions into TBTF financial institutions. [read post]
26 Apr 2012, 11:16 pm
UK Financial Services Authority officials are concerned that, in the absence of clarification, the proposed regulations implementing the Dodd-Frank Volcker Rule provisions may unintentionally interfere with U.K. covered bond structures and as a result have potential negative implications for U.K. banks and possibly the U.K. economy more widely. [read post]
26 Apr 2012, 10:59 am
The proposed bill is here, and the Committee on Financial Services announcement can be found here. [read post]
25 Apr 2012, 10:52 pm
Bauchus-McCarthy Bill to Authorize IA SRO House Financial Services Committee Chairman Spencer Bachus (R-LA) and Rep. [read post]
25 Apr 2012, 8:25 am
Based on reports in the Investment News, it appears that Cambridge may actually be planning to continue to operate as an RIA called Cambridge Legacy Advisors Inc., so despite the brokerage firm’s withdrawal from FINRA and the bankruptcy filing of the broker-dealer, the firm could continue to service clients through its RIA. [read post]
24 Apr 2012, 8:00 am
The JOBS Act has already sparked a number of interesting questions from hedge fund managers who want to begin more aggressive advertising campains under the new laws. [read post]
24 Apr 2012, 5:00 am
IA-1644 (July 18, 1997) In re Leeb Investment Advisors et al., SEC Release No. [read post]
