While the rest of Wall Street is spinning off money management or figuring out a way to eliminate the perceived conflict of interest inherent in proprietary funds, Morgan Stanley is rolling out more homegrown products. However, instead of mutual...
Speaking at the second annual NYSE Regulation conference in New York, NYSE Group CEO John Thain took on what he called “excessive” regulation as being one of the factors responsible for driving capital-raising activity outside the U.S.
The rise of fiduciary litigation in recent years (combined with ever-increasing attorneys' fees) has prompted some to search for an alternative to a traditional judicial dispute. Arbitration may provide an effective, less costly mechanism for...
The $70 billion tax cut that became law last month is good news for clients who want to open a Roth IRA for the first time
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A small cancer-research firm called Shimoda-Atlantic filed a lawsuit because, it says, the NASD helped several men, allegedly employed by the FBI, to create and perpetrate a fraudulent securities scheme against the company
Complete repeal, a cherished goal of the Bush Administration is viewed as highly unlikely, if a bill emerges, it will be some kind of compromise measure that preserves the tax but reduces the bite.
Students protested in front of several Chicago-based Merrill Lynch offices one day after settlement talks between African-American reps who claim they were discriminated against and Merrill Lynch came to an end.
Edward Jones forced to pay back $75 million to clients to pay for revenue sharing