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The first criminal trial involving muni market executives accused of bid-rigging is scheduled to begin next week in a federal court in New York City, unless they enter into plea agreements.
April 10 -
After taking public comment, CFP Board announced new changes to its rules and procedures in three areas, including the way it handles bankruptcies among certificants and applicants.
April 5 -
A FINRA hearing panel has fined Syosset, N.Y.-based David Lerner Associates Inc. $2.3 million and suspended head trader William Mason for six months with a $200,000 fine for charging excessive markups on municipal bond and collateralized mortgage obligation transactions over a two-year period.
April 4 -
The CFTC is expected to file a civil case against JPMorgan. The bank is expected to settle the Lehman matter and pay a fine of about $20 million, the paper reports.
April 4 -
A federal judge has declared that Fidelity Investments and the American unit of ABB, Inc. violated federal laws by making pension holders pay excessive 401(k) plan fees, and has ordered the defendants to pay $36.9 million in damages.
April 4 -
An arbitration panel has ordered Stifel Nicholas & Co. to pay $70,000 out of a more than $7 million claim brought against the firm by Wachovia Securities for allegedly unfairly raiding one of its Oklahoma offices.
April 3 -
A federal judge has declared that Fidelity Investments and the American unit of ABB, Inc. violated federal laws by making pension holders pay excessive 401(k) plan fees, and has ordered the defendants to pay $36.9 million in damages.
April 3 -
The Federal Reserve's stress tests and capital decisions help clarify who can afford to buy, how much they can pay and who might need to sell.
April 1 -
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Investors are going to demand adherence to international financial standards.
April 1
