$550 million penalty may be a record, but the Wall Street firm got off light, say experts.
If last week’s volatility was a test, go-anywhere funds passed.
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.
Survey reveals investors confused by crush of options – and not sure what they are.
Last dance for Florida firm that hawked Provident Reg D offering; lawyer claims Finra was the bigger problem, however.
So-called father of indexing still not a fan of exchange-traded funds; ‘making a muddy pool muddier’.
Bank settles allegations that its B-D sold pool of mortgages to clients then bet against them.
Increases account minimum to $250,000 in bid to bring in wealthier clients.
Claim employer put retirement assets in proprietary funds that incurred $20M in excess costs.
Selling, then renting and investing, a better strategy.
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