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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

Is Legg Mason having trouble integrating Citigroup's funds? Shares of Legg Mason have fallen 15 percent since the firm announced earnings on May 10 that fell far short of analyst estimates.

Gary Rathburn's financial adivsory business is growing like weeds on steroids. His secret? A little thing called wealth management

For clients lucky enough to own land rich in natural beauty, they can save a bundle on taxes if they promise to basically preserve the property the way it is forever.

The NYSE has issued a release advising investors to be careful about following their brokers to new firms at a time when there’s been a big jump in the number of advisors moving from one brokerage house to another.

Over four years after the Patriot Act was passed, and following over a dozen anti-money laundering audits by the SEC, the regulator this week took its first enforcement action against a broker/dealer for violation of the law.