Wealth Management industry news covering the financial markets, trends and wealth professionals.
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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...
Affluent trust investment professionals, but still research their advice online COLUMBUS, Ohio-- When it comes to financial planning, face-to-face advice is highly credible and still beats online options -- even though affluent professionals often...
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NASD Regulation today announced a disciplinary settlement in which it fined Tower Square Securities, a subsidiary of Citigroup with 700 brokers, $200,000 and ordered the firm to make $4.3 million in restitution to a Louisiana Public School System...
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