Long-short mutual funds have gotten more popular with investors in the last few years, as they increasingly look for low-volatility returns in an unpredictable market.
What is the view from your office window today? Opportunity, and oh yeah, the most spectacular view of New York you have ever seen. How did you get your first job in the securities industry? I wanted to work for...
Securities class-action lawsuit filings were at their lowest level in a decade in the first half of this year, according to a report from Stanford University
Securities regulators say that 60 percent to 70 percent of the complaints they receive concerning fraud are committed by unregistered individuals, while 97 percent to 98 percent of registered reps have virtually...
The Securities Industry Association (SIA) and Wayne Klein, the director of Utah's Division of Securities, have agreed to put on hold Utah's recently approved “failure to deliver” law
“Seniors” account for 44 percent of all investor complaints received by state securities regulators and that number could grow in coming years, according to the North American Securities Administrators...
Prudential Equity Group, a broker/dealer subsidiary of Prudential Financial, got slammed Monday with one of the biggest settlements seen in a market timing case: $600 million in fines, restitution and penalties.
