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FINRA Hits Chase Investment Services With $3.6M Fine
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Chase Investment Services Corp will have to reimburse brokerage customers $1.9 million over the sale of unit investment trusts and floating rate loan funds not deemed suitable for them.
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Clients So Many Investment Products So Little Understanding
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Survey reveals investors confused by crush of options – and not sure what they are.
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Boogie Down And Out After Selling Private Placements
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Last dance for Florida firm that hawked Provident Reg D offering; lawyer claims Finra was the bigger problem, however.
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Bogle: ETFs Great For Trading Bad For Investors
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So-called father of indexing still not a fan of exchange-traded funds; ‘making a muddy pool muddier’.
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'Best Short Ever' Ends Up Costing Citi $285M
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Bank settles allegations that its B-D sold pool of mortgages to clients then bet against them.
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Bank Of America Raises The Compensation Bar For Merrill Brokers
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Increases account minimum to $250,000 in bid to bring in wealthier clients.
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Ameriprise Workers Sue Over Company's Own 401K Funds
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Claim employer put retirement assets in proprietary funds that incurred $20M in excess costs.
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About-Face On Reverse Mortgages
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Selling, then renting and investing, a better strategy.
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Vanguard Strikes Back Against Bogle
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A new study refutes founder’s concerns that exchange-traded funds encourage excessive trading.
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Vanguard Fires Another Shot In ETF Fee War
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To launch short-term TIPS fund later this year at half the cost of iShares.
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