Managers of Wealth Americas

Ellen Pao, hedgie husband are losing their power couple status

The walls are finally closing in on disgraced hedge fund manager Buddy Fletcher and wife

Managers push SEC for limits on brokers' maker-taker rebates

The fact that the markets are as fragmented as they are, one could argue that fragmentation might have actually played a part in the NYSE problem

Role of DFMs in managing risk

How is risk managed within a portfolio and whose responsibility is it?

Hedge funder’s pricey divorce

According to public records, Ulrich — who manages a $16 billion fund at Anchorage — bought Santos’ share of their combined two townhouses for $16,331,697.

Clinton gets tough on Wall Street, vows to tighten oversight

She said banks cannot be "too big to fail.

Ex-NY Assembly Speaker's Son-In-Law Admits to Defrauding Investors

I'm sorry for what I have done, and I apologize to the court and to my family

Ex-Deutsche Bank Traders Said to Face Libor Charges From DOJ

Deutsche Bank entered into a record $2.5 billion global settlement with agencies, including the Justice Department

Beanie Baby Maker’s Probation Sentence Upheld in Tax Case

The district judge found Warner’s record of charity and benevolence ‘overwhelming

Former FIFA Vice President Jeffrey Webb Agrees to Extradition to U.S.

Webb has been in Swiss custody but would be transported to the U.S. in the next 10 days

Investor lessons from an alleged $1.5B Ponzi scheme

The indictment comes the same week that a jury is deciding the fate of two advisors accused of victimizing NHL players and other investors.

We’re ordering JP Morgan Chase to refund $50 million and stop collecting on 528,000 accounts

Chase also filed more than 528,000 lawsuits against consumers to collect on debts

Camardas May Appeal Judge’s Decision in CFP Board Suit

We are clearly disappointed in the decision and do not think it is correct if it rules that the CFP Board – being a private organization – has the prerogative to treat its licensees

FSI Taking the Fiduciary Fight to Consumers

The initiative breaks new ground for FSI

F-Squared Files for Bankruptcy Protection

This acquisition presents a timely opportunity to expand Broadmeadow's product portfolio

Massachusetts Sues Securities America for Misleading Elderly

The agent pulled a ‘bait and switch,’ falsely advertising one service to obtain contact information, and switching it out for another—financial services

New international law firm announced

Will have more than 1,400 lawyers and legal professionals operating from 18 locations across Canada, the UK, Europe, Asia and the Middle East.

LPL, Wells Fargo, Raymond James to Pay $30M for Mutual Fund Overcharges

Some mutual funds waive their upfront sales charges for Class A shares

FINRA Candidate Says He'd Represent Firms, Not Investors

If elected, FINRA candidate Brian Kovack says he would focus on implementing regulatory reforms.

Banks’ ‘living wills’ aim to prevent more bailouts

JPMorgan Chase & Co. said it would shrink by about one-third, without systemic disruption, if the company was forced into bankruptcy.

The US voluntary disclosure landscape has changed dramatically over the last 12 months

Under the Programs, a penalty was initially imposed that was calculated at 20% of the previously non-disclosed financial account balances

Legal, Regulation & Compliance