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April 11, 2011 | Daily Business Review

Portfolios-to-go may be Wall Street's next thundering herd

Andy Cohen, 47, uses exchange-traded fund portfolios recommended by MarketRiders Inc. to manage his retirement plan and children's college savings. He's charged about $10 a month.
9 minute read
July 27, 2009 | National Law Journal

VERDICTS & SETTLEMENTS

7 minute read
October 29, 2007 | National Law Journal

Brokerage houses face 'sweep' suits

A number of major brokerage houses are facing proposed class actions. They're accused of sweeping uninvested brokerage account money into low-interest accounts at affiliated banks and using the funds to earn money for the companies. The so-called "sweep suits" have been filed in federal court in New York and Colorado.
4 minute read
August 07, 2012 | Daily Business Review

Knight Capital says it has $400 million financing deal

Knight Capital says unnamed investors agreed to buy $400 million of preferred stock that will be converted into about 267 million of its shares, which would help the trading firm stay in business after a software glitch.
3 minute read
November 03, 2009 | Daily Report Online

Recession didn't make chief execs any wiser

Corporate executives have learned nothing from the recession. As the economy recovers, they should use the cash they piled up during the bad times to build new plants and make sensible acquisitions while costs are low and they can leverage their spending with low-interest debt. Instead companies are investing in a woeful strategy of the past-buying back their own stock.
4 minute read
November 02, 2007 | Law.com

Brokerage Houses Face 'Sweep' Suits

Some major brokerage houses are facing proposed class actions for sweeping uninvested brokerage account money into low-interest accounts at affiliated banks and using the funds to allegedly earn money for the companies while paying lower interest to the sweep-account holders. The "sweep suits" have been filed in federal court in New York and Colorado. Sweeping has become a huge source of revenue for brokerage firms, but a plaintiffs lawyer on the New York cases says the practice is "not defendible."
3 minute read
May 02, 2008 | Daily Report Online

Auction-rate securities suits rising

6 minute read
April 12, 2011 | Daily Report Online

Portfolios-to-go may be next thundering herd

Andy Cohen, 47, uses exchange-traded fund portfolios recommended by MarketRiders Inc. to manage his retirement plan and children's college savings. He's charged about $10 a month."I don't have enough money that I have a dedicated wealth manager," said Cohen, who lives in San Mateo, Calif., and is chief executive officer of Caring.
8 minute read
October 02, 2009 | National Law Journal

Guilty plea from lawyer who lost client funds playing the stock market

A Southern California lawyer who lost nearly all of a $2.5 million class action recovery by investing client trust funds in the stock market has pleaded guilty to criminal charges. obstruction of justice.
3 minute read
December 07, 2010 | Daily Report Online

Tweeting rules leave brokers with little to say

Social media sites such as LinkedIn and Twitter are redefining the way businesses reach their customers. Securities firms are largely absent from the revolution. Regulators and company rules at brokerages have slowed the adoption of social media by the financial services industry, said Margaret Paradis, a New York-based partner at law firm Baker McKenzie who advises brokers and fund managers.
6 minute read

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