SPECIAL READER SURVEY Trusts & Estates, in conjunction with Prince & Associates, is conducting an exclusive survey of our readers to pinpoint the state of the art in the estate planning and trust professions. Please downlownload the survey...
Saying that the anthrax scare has caused an increase in bio-hazard-type “investment scams,” the SEC secretly launched a Web site designed to warn investors about stock market scams. The Website, www.mcwhortle.com, hawking a handheld...
Edward Jones finished No. 1 in Fortune magazine's annual list of the 100 Best Companies to Work for in America. This is Jones’ fourth appearance on Fortune’s list, but its first No. 1 ranking. Fortune’s Feb. 4 issue says 97...
With the SEC knee-deep in investigations and proposed rule changes, Chairman Harvey Pitt needed additional ammunition to handle the workload. So President Bush helped out by filling two of the four empty SEC commissioner seats with nominees Isaac...
The SEC and NASD are investigating Merrill Lynch, Morgan Stanley, Salomon Smith Barney, Prudential Securities and UBS PaineWebber for their alleged involvement in IPO underwriting scandals, an attorney involved in the case confirmed to Registered...
If analysts, asset managers and Merrill Lynch reps are to be believed, the fourth-quarter earnings reported today will indeed have been the worst of it for the nation’s largest brokerage. They better hope so. Merrill Lynch said its private...
The number of cases filed with the NASD Dispute Resolution Arbitration Forum jumped 24% in 2001, an increase of almost 1,400 cases, according to the NASD’s year-end statistics, which was announced today. The 1,400 cases is a NASD record. The...