Practice

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.

The Securities and Exchange Commission reportedly is seeking documents from the Massachusetts’ Treasury Department in reference to its relationship with Goldman, Sachs & Co.

The Obama administration will not make its Jan. 31st deadline for proposing reforms to the government-sponsored enterprises, an administration official said Monday.

The SEC’s recommendation didn’t lay out a timeline or a framework, but now the ball is in motion, observers say.