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Misleading the Military: NASD fined two Fidelity b/ds $400,000 for preparing and distributing misleading sales literature that promoted Fidelity's Destiny I and II Systematic Investment Plans, which were primarily sold to U.S. military personnel.
In his new role as New York governor, Eliot Spitzer is joining forces with those he used to terrorize—Wall Street chief executives—to modernize financial services regulation in the state, the Financial Times reports. Spitzer is forming...
A good salesman doesn’t always make a good financial advisor. And some clients are finding that out the hard way. A survey published by The Paladin Registry, a for-profit company that offers consumers free access to a Web-based database of...