0 results for 'TD Ameritrade Inc'
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.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.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.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.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."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.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.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.Trending Stories
Law Offices of Gary Martin Hays & Associates, P.C.
(470) 294-1674
Law Offices of Mark E. Salomone
(857) 444-6468
Smith & Hassler
(713) 739-1250
Data Management and Analytics: The Key to Success for Legal Operations
Brought to you by DiliTrust
Download Now
Small Law Firm Playbook: The Expert's Guide to Getting the Most Out of Legal Software
Brought to you by PracticePanther
Download Now
Strong & Hanni Solves Storage Woes--Learn How You Can, Too
Brought to you by Filevine
Download Now
Meeting the Requirements of California's SB 553: Workplace Violence Prevention
Brought to you by NAVEX Global
Download Now