Practice

The Dodd-Frank Wall Street Reform and Consumer Protection Act faces a “serious threat” and “potential undoing” ­under Republican-proposed spending cuts, House Democrats warned Tuesday.

There’s a buyer for you out there. Here’s what you need to consider for 2011.

In a narrow 3-2 vote today, the U.S. Securities and Exchange Commission (SEC) has green lighted a provision that will give shareholders a say on the executive pay at companies they have a substantial stake in.

Merrill Lynch, Pierce, Fenner & Smith, now a unit of Bank of America, will pay $10 million to settle charges that it misused customer order information for its own proprietary trading in securities.

Merrill Lynch, Pierce, Fenner & Smith, now a unit of Bank of America, will pay $10 million to settle charges that it misused customer order information for its own proprietary trading in securities.

The Securities and Exchange Commission charged an Austin energy company with bribing a broker to manipulate the price of its stock.

Private fund advisors with more than $1 billion in assets under supervision have a greater need for monitoring, especially after lessons learned during the recent financial crisis, according to the Securities and Exchange Commission.

The Securities and Exchange Commission charged an Austin energy company with bribing a broker to manipulate the price of its stock.

Advisor David Armstrong combines technology, legal oversight and common sense to make the most of online communication tools.

Chris Brewster joined the firm as non-producing manager of the Columbus, Ohio office, which has 10 financial advisors and 27 associates.