Firm failed to inform clients about added forex charges, regulator alleged
Firm's systems failed to spot clients who were eligible for cheaper fund series
FINRA has fined the firm and ordered restitution for early rollover recommendations
Firms allegedly charged excess fees on education savings plans
Only debt underwriting fees increased
Restructuring and credit issues, combined with overreaction to growth on the Bank of Canada’s part, could stifle Canada’s economic rebound
Fear over banks holds back equity recovery
Sluggish rebound forecast for 2010
The U.S. Securities and Exchange Commission has settled charges against Merrill Lynch, Pierce, Fenner & Smith Inc. over allegations that it let traders at other firms listen into its squawk boxes, the regulator said Wednesday.The SEC charged the firm with securities laws violations for having inadequate policies and procedures for controlling access to institutional customer […]
Institutional investor hopes are higher than at any point since start of credit crunch