Investors were told that funds would be safe because they would be held in a notary trust account
Rep introduced scholarship plan clients to an investment program beyond his registration
Financial institution rating activity was largely positive during the quarter
The small-cap market has been under increasing pressure
Court upholds insurer’s decision
Report finds lack of understanding among team members about changes to sub-system
The sharp slowdown could mark the beginning of a period of greater caution among global investors
Total cost of settlement estimated in excess of $95 million
Reforms aimed at strengthening the overall quality of credit ratings
Hearing panel sides with Jowdat Waheed and Bruce Walter