Halah Touryalai

After some minor bumps along the way, the NASD and NYSE merger is official. The regulators’ consolidation, which was announced on November 28 and approved by the Securities and Exchange Commission on July 26...

So maybe his reputation wasn’t so damaged after all—or maybe it’s just made a comeback. The former Merrill Lynch sales manager who sued Hydie Sumner and her lawyer Linda Friedman in September of 2006...

Seems like NASD and NYSE regulation can’t catch a break. First it was Muslims, now it’s the Financial Planning Association that is unhappy with the merged regulatory bodies’ potential new name.

Registered Rep. spoke with Mark Goldberg (former CEO of Royal Alliance Associates) about his new endeavor, Private Wealth Management, which provides independent wealth management firms with capital to help them grow...

In 2002, together with fifteen colleagues, Mark Feldman fled the rapidly imploding accounting firm Arthur Anderson, where he and the others worked in the firm's financial advisory unit. Feldman and his friends...

Merrill Lynch was hit by yet another discrimination suit yesterday. This time the Equal Employment Opportunity Commission, the federal agency that enforces laws regarding workplace discrimination, is heading the...

Trust is an obvious component of a successful relationship between an advisor and a client. But there are some areas of the relationship where advisors may be jeopardizing that trust, and without even knowing it. The...

Registered Rep. reported Thursday that a judge ruled in favor of Merrill Lynch, which had requested an end to the discovery phase in a racial discrimination suit filed against the firm. Merrill does not want to have...