The regulatory body composed of the NYSE Regulation and the NASD Regulation, known for the past 5 weeks as SIRA, is getting another name.

Peter Wuffli was replaced as CEO of UBS last week after the firm realized millions of dollars in losses in an internal hedge fund, according to published reports. Marcel Roehner, who was previously deputy CEO and head of global wealth management...

There will be a dramatic increase in the volume and complexity of trusts-and-estates disputes in the near future. It's time to embrace mediation as an alternative to formal litigation in probate and fiduciary matters. So I call on all responsible...

Probate litigation has changed drastically in the last several decades, particularly as nonprobate transfers have become an increasingly important way of moving assets from one generation to the next. For such transfers involving wrongdoing...

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 promptly launched a registered...

A new study suggests that the securities arbitration system is seriously flawed, because it's unfair to retail clients. It's an argument that has long been made by investor advocates, of course, and even some securities lawyers and state...

St. Louis will officially be home to the new Wachovia Securities, after Federal Antitrust regulators approved Wachovia Corp.’s acquisition of A.G. Edwards on Monday. Wachovia says the proxy detailing the ins and outs of the deal for...

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 complaint on behalf of former...

We recently represented two different institutional trustees and in each case the primary beneficiary of the trust was incarcerated -- guests of the state, if you will. They were later released. A recent decision out of California on quite another...

Broker-dealers got the breathing room they hoped for on Monday with regards to complying with the recent court ruling that outlaws fee-based brokerage accounts. A federal court granted an SEC-requested 120 day stay, until October 1st, for firms to...