brokerage firms

Welcome to the 'brokerage firms' tag page at Technorati. This page features content from the farthest reaches of the Blogosphere that authors have "tagged" with 'brokerage firms'.

Latest blogosphere posts tagged “brokerage firms”

• Medical Capital Holdings Alert - Investors Face Tremendous Losses

  
  Investment Fraud Lawyer Blog — Authority: 421
  The Receiver for Medical Capital Holdings Inc. issued his Third Report on October 9, 2009. The most recent report did contain some additional information but was, in most part, a recap of what was included in the Second Report. The reports can be found at http://www.medicalcapitalreceivership.com. Nothing in the ...
  1 day ago

• Financial Abuse of Senior Citizens is a Growing Problem but Remedies are Available

  
  Investment Fraud Lawyer Blog — Authority: 421
  The increasing number of senior citizens has resulted in an increase in the number of corrupt financial advisors looking to make a commission by persuading trusting seniors to buy unsuitable financial products, such as variable annuities, and engage in other inappropriate financial strategies, according to a July 2009 ...
  1 day ago

• Time is Running Out on Schwab YieldPlus Investors who Want to Opt Out of the Class Action

  
  Investment Fraud Lawyer Blog — Authority: 421
  A federal court recently certified a class action against Charles Schwab & Company, Inc. brought on behalf of investors in the Schwab YieldPlus Fund. The certification means that the lawsuit can proceed as a class action; no settlement has been reached. Most importantly for YieldPlus investors with significant ...
  2 days ago

• Page Perrys Market Monitor - November 6, 2009

  
  Investment Fraud Lawyer Blog — Authority: 421
  There have been various developments over the past several weeks which investors may consider relevant in allocating their resources or evaluating alternatives that are available to them. Some of the more significant developments include, but are not limited to, the following: • The Dow Jones Industrial Average ...
  3 days ago

• Examinations of Investment Advisers Are Becoming More Demanding

  
  Investment Fraud Lawyer Blog — Authority: 421
  Investment adviser firms, their lawyers, and their consultants all report that the Securities and Exchange Commissions examinations are becoming more demanding. Examiners are spending more time on the exams and are writing up more lengthy and detailed deficiency reports. The SEC is deferring less and less to ...
  6 days ago

• Schwab’s Commission-Free ETFs: A Watershed Event

  
  FiNETIK - Financial Industry Networked Thinking - Asia and Latin America — Authority: 476
  On November 3, 2009, marked a watershed event for the ETF landscape. It’s the day that Schwab (SCHW), absent from the ETF industry for past 16 years, upped the ante for any company thinking about getting into the business. Charles Schwab Investment Management, Inc. launched its first four ETFs.At first glance, the ...
  6 days ago

• Private Investments (a/k/a Reg D Investments) Pose Significant Risks to Investors

  
  Investment Fraud Lawyer Blog — Authority: 421
  Illiquid, unregulated private placement investment offerings are worrying state regulators, who are charged with protecting the investing public from investment scams, according to a recent article in InvestmentNews by Bruce Kelly. They are known as “Reg D” offerings. There were 26,485 of Reg D offerings in 2008 ...
  6 days ago

• Have You Lost Money in ETFs?

  
  Investment Fraud Lawyer Blog — Authority: 421
  There has recently been a spate of litigation and regulatory activity surrounding exchange-traded funds (ETF’s), particularly leveraged or inverse ETF’s. Both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have issued warnings that leveraged and inverse ...
  1 week ago

• Fidessa expands connectivity network with nine new Latin American brokers in Mexico and Brazil

  
  FiNETIK - Financial Industry Networked Thinking - Asia and Latin America — Authority: 476
  Fidessa group plc, provider of award-winning trading solutions for the buy-side and sell-side, today announced the addition of nine brokerage firms, with operations in Brazil and Mexico, to its global connectivity network. This extends the range of order execution opportunities for firms looking to access the Latin ...
  1 week ago

• China: SZSE – ChiNext Creates 13 Billionaires on Paper on First Trading Day

  
  FiNETIK - Financial Industry Networked Thinking - Asia and Latin America — Authority: 476
  China’s GEM market has given birth to more than a dozen billionaires due to extraordinary enthusiasm of investors. Strong gains on the opening day of China’s Growth Enterprise Market, the Nasdaq-style board for high-tech startups, have created 13 paper billionaires, Caijing reported, citing calculations based on ...
  1 week ago

• Schwab YieldPlus Investors Should Consider Their Options

  
  Investment Fraud Lawyer Blog — Authority: 421
  Investors in Charles Schwab’s YieldPlus Fund need to be aware of their options in light of the recent certification of a class action brought by YieldPlus investors against Schwab. Most importantly, YieldPlus investors who are class members need to request exclusion from the class if they wish to maintain individual ...
  1 week ago

• Investing in Forex

  
  Currency Forex Trading Blog — Authority: 155
  href="http://www.dailyforex.com/">Forex foreign is where buy different and currencies by broker. is, a that have office. the internet, now start Forex a of within trading you lot on of between fluctuate one matter the in In trading recession One most of is offers potential ...
  1 week ago

• Page Perrys Market Monitor - October 30, 2009

  
  Investment Fraud Lawyer Blog — Authority: 421
  There have been various developments over the past several weeks which investors may consider relevant in allocating their resources or evaluating alternatives that are available to them. Some of the more significant developments include, but are not limited to, the following: • The Dow Jones Industrial Average ...
  1 week ago

• Credit Suisse Sued Again over Auction Rate Securities Abuses

  
  Investment Fraud Lawyer Blog — Authority: 421
  Roche International has sued Credit Suisse for over $270 million in losses that the drug company incurred after the bank’s brokers invested $545 million of its money in auction rate securities. Roche’s Credit Suisse relationship managers were Julian Tzolov and Eric Butler, who are now serving federal prison ...
  1 week ago

• Its Time to Eliminate Industry Bias from Securities Arbitration

  
  Investment Fraud Lawyer Blog — Authority: 421
  The Financial Industry Regulatory Authority (FINRA) announced the expansion of a two-year pilot program that gives some investors an opportunity to select an arbitration panel composed of three public arbitrators instead of two public and one non-public in certain cases. To be eligible, a case must be against one of ...
  1 week ago

• SMX Singapore Mercantile Exchange successfully completes Go-Live testing

  
  FiNETIK - Financial Industry Networked Thinking - Asia and Latin America — Authority: 476
  Taking the next big step towards its launch, the Singapore Mercantile Exchange (“SMX” or the “Exchange”) has successfully completed the testing of its electronic trading platform, risk management and clearing & settlement systems. The Exchange received overwhelming support from the industry which included ...
  1 week ago

• Goldman Sachs’ Last Minute GDP Cut (GE)

  
  24/7 Wall St. — Authority: 693
  Much of today’s weakness in the equity markets is not just being pointed at a stronger dollar and not just being pointed toward an equity market that still may be ahead of itself.  A strategist call from Goldman Sachs Group (NYSE: GS) with a lower target on Q3 Gross Domestic Product may have just piled [...] [[ ...
  2 weeks ago

• Ameriprise Settles Deceptive Sales Practices Charges

  
  Investment Fraud Lawyer Blog — Authority: 421
  InvestmentNews reported on October 25 that Ameriprise Financial Services reached a settlement with Massachusetts over accusations of deceptive sales practices. The $200,000 settlement centers on the Ameriprise’s failure to supervise their financial representatives, allowing them to charge fees for financial plans ...
  2 weeks ago

• The SEC Must Adopt an Aggressive Enforcement Program if it is to Restore its Credibility

  
  Investment Fraud Lawyer Blog — Authority: 421
  A recent InvestmentNews op-ed on September 27 endorsed Judge Jed Rakoff’s action in the Bank of America settlement process. Bank of America is accused of lying to shareholders about $5.8 billion in bonuses paid to Merrill Lynch employees immediately preceding a merger between the two companies. The Bank approved ...
  2 weeks ago

• Court or Arbitration - Brokerage Firms Want to have their Cake and Eat it Too

  
  Investment Fraud Lawyer Blog — Authority: 421
  Merrill Lynch has apparently pulled a fast one on unsuspecting brokers who thought they could resolve promissory note disputes with the firm through FINRA arbitration – it (cleverly) issued the notes through a non-member of FINRA and is now taking the brokers to court in New York, where the courts are generally ...
  2 weeks ago

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