Practice

Court ruling dismissing the securities fraud suit is only one victory in a sea of litigation.

Schwab study finds that strategy is key in effective deployment of tech services

Raymond Tate, formerly a Bank of America Merrill Lynch complex manager in Phoenix joined Wells Fargo Advisors Sept. 7 as a branch manager of its Oakland, Calif., office, according to recruitment firm Willis Consulting in Palo Verdes Estates, Calif.

The two-man team has $225 million in assets under management.

The Internal Revenue Service is getting the word out to employers about a provision in the recently passed Small Business Jobs Act that allows them to amend their 401(k) or 403(b) plans to allow participants to transfer an eligible rollover distribution into a Roth 401(k) or 403(b) account.

Nearly three months after the Dodd-Frank law created the Financial Stability Oversight Council, its first official meeting Friday was not exactly auspicious.

Advisors Tony Noisom and Chris Musino joined Raymond James from Wells Fargo in Coral Gables

The Securities and Exchange Commission released its report on May 6’s so-called Flash Crash, but did little else to clarify whether there was any malfeasance involved or whether the report would eventually lead to changes in the way trading is regulated.

Commissioners detail the trade that sunk the market, but won't comment on whose fault it was or what they're doing to fix the problem.

The joint report of the Commodity Futures Trading Commission and the Securities and Exchange Commission on the May 6 Flash Crash is out; and, as expected, the trigger event was found to be a large, programmed effort by a mutual fund complex to sell E-Mini contracts.