Instead of trying to be all things to all the people the SEC serves -- they include investors, advisors, fund managers, lawyers and others -- investor...
Georges Ugeux | Posted 09.19.2009 | Politics
There is no winner when fundamental rule of law and customer loyalty are not respected. This will have major ramifications outside of Switzerland and the United States.
Legal Times | Posted 07.05.2009 | Business
An analysis conducted out of Sutherland Asbill & Brennan's Washington office shows the Financial Industry Regulatory Authority - the independent secur...
Dan Solin | Posted 06.05.2009 | Business
FINRA's Board of Governors is a who's who of the securities industry. They "govern" their fellow brokers the same way the SEC "governed" Bernie Madoff.
Dan Solin | Posted 03.20.2009 | Business
Now that posturing for the cameras is over, it will be business as usual at the SEC.
Dan Solin | Posted 02.13.2009 | Business
Mary Schapiro's advocacy for FINRA's flawed mandatory arbitration process - and her antipathy for investors' rights -- disqualifies her from confirmation as head of the SEC.
Dan Solin | Posted 10.10.2008 | Business
Find out the position of the candidates on the Fairness in Arbitration Act of 2007. This proposed legislation would ban mandatory arbitration clauses in consumer agreements, including agreements with stock brokers and advisors.
DailyFinance | Michelle Leder | Posted 10.23.2009 | Business