How will new financial regulations wending their way through Congress affect individual retail financial advisors and broker/dealers, independent or otherwise?
If you visit William Mundy at his Blue Bell, Pa. office, chances are good you’ll find him with his ear pressed to the phone, pitching his services to people he’s never met: That’s right, cold calling.
Thanks to Chairwoman Mary Schapiro, if your clients' money market funds are threatening to break the buck, the board of the fund may elect to suspend redemptions.
On Monday, Citigroup filed a motion to dismiss a class action lawsuit filed against the firm over the terms of its financial advisor bonus pay agreements. The firm filed the motion with the U.S. District Court for the Southern District of New York.
In 2009, asset protection specialists watched a major Internal Revenue Service drive to flush out secret foreign bank accounts while a financial crisis brought to light mammoth Ponzi schemes and took down publicly traded companies. But we saw few...
