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Citigroup, J.P Morgan Chase, Morgan Stanley and Other Firms Added to Investigation of Goldman Sachs over "Front-Running" of ResearchDec 18, 2009
The Financial Industry Regulatory Authority ( FINRA) has launched an investigation into improper trading in advance of stock research and ratings at Citigroup, J.P. Morgan Chase, Morgan Stanley and ten other financial firms, it was reported today by...
Securities Fraud: Broker Sentenced for Selling High-Risk Short Term Funds to Four Pennsylvania School DistrictsDec 15, 2009
The broker who pleaded guilty to one count of securities fraud for selling risky securities to four school districts in Pennsylvania has been sentenced to one year and a day in federal prison. Robert Bradbury, 63, must also pay a $10,000 fine.
The...
Lehman Brothers Sues Barclays for Billions Over Windfall Profit From Asset Sale TransactionDec 14, 2009
Lehman Brothers Holdings Inc. has filed an adversary complaint against Barclays Capital Inc. requesting the return of billions of dollars in extra profit that it says the latter made when buying Lehman’s North American brokerage business last year....
Edward Jones and Merrill Lynch Brokers Like Where They Work, While UBS Representatives are the Least HappyDec 11, 2009
According to Registered Rep magazine’s latest Broker Report Card, 98% of Edward Jones brokers say their securities firm is the best place to work. 78% of Merrill Lynch brokers ranked their investment firm as the number the one workplace.
Findings...
UBS Loses Lehman Arbitration Note Claim by Small InvestorDec 9, 2009
In an arbitration case that could affect numerous cases that are still pending, a Financial Industry Regulation Authority panel awarded a small investor $200,000 after finding that a UBS Financial Services broker acted inappropriately when he sold...
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