With the SEC knee-deep in investigations and proposed rule changes, Chairman Harvey Pitt needed additional ammunition to handle the workload. So President Bush helped out by filling two of the four empty SEC commissioner seats with nominees Isaac...
The SEC and NASD are investigating Merrill Lynch, Morgan Stanley, Salomon Smith Barney, Prudential Securities and UBS PaineWebber for their alleged involvement in IPO underwriting scandals, an attorney involved in the case confirmed to Registered...
If analysts, asset managers and Merrill Lynch reps are to be believed, the fourth-quarter earnings reported today will indeed have been the worst of it for the nation’s largest brokerage. They better hope so. Merrill Lynch said its private...
The number of cases filed with the NASD Dispute Resolution Arbitration Forum jumped 24% in 2001, an increase of almost 1,400 cases, according to the NASD’s year-end statistics, which was announced today. The 1,400 cases is a NASD record. The...
Affluent trust investment professionals, but still research their advice online COLUMBUS, Ohio-- When it comes to financial planning, face-to-face advice is highly credible and still beats online options -- even though affluent professionals often...
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