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October 26, 2010 |

Brokers flee brokerages as declining assets show broken model

After Morgan Stanley took control of Smith Barney in May 2009 from Citigroup Inc., David Hopkins grew disillusioned with his new bosses.
6 minute read
September 05, 2008 |

Public Citizen now represents lead plaintiff against TD Ameritrade, urges judge to reject settlement

Public Citizen Litigation Group has taken over representation of the lead plaintiff in a putative class action against TD Ameritrade, the Internet stock-trading company, and has urged a federal judge to reject a settlement between the company and as many as six million customers whose data was breached when hackers stole personal identifying information.
2 minute read
November 15, 2012 |

'Cautionary tale' shows risk of prosecution

On April 14, 2011, James Fan stood on the landing of a parking garage at Newark Liberty International Airport, a cheer-up letter from his young son in his pants pocket, the prospect of a four-story leap facing him.
17 minute read
January 15, 2009 |

New Deals

Citigroup Inc. and Morgan Stanley have announced a joint venture in which Morgan has agreed to take majority ownership of Citigroup's brokerage unit for $2.7 billion. Also, Online broker TD Ameritrade Holding Corporation has agreed to acquire thinkorswim Group Inc. in a $606 million cash and stock deal.
4 minute read
September 11, 2013 |

TD Bank Doubles Advisers In Push For Wealthy Americans

Toronto-Dominion Bank is ramping up its U.S. asset-management business while doubling the number of advisers for wealthy American clients in an bid to accelerate profit.
5 minute read
April 21, 2008 |

Auction-rate securities suits rising

Investors holding securities tied to the stalled auction-rate market, which sets interest rates for certain types of bonds at periodic auctions, are filing lawsuits and arbitration proceedings alleging, among other things, that investors were deceived. Planitiffs' lawyer Ed Korsinsky said the involved investors thought they were buying something akin to a money market account, not securities.
5 minute read
April 11, 2011 |

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.
8 minute read
June 18, 2010 |

Attorney Sentenced for Losing $2 Million From Client Trust Fund

A Southern California lawyer who lost more than $2 million from a class action settlement by investing client trust funds in the stock market has been sentenced to 18 months in prison. Sandeep Baweja of the Baweja Law Group in Irvine, Calif., pleaded guilty in October to one count of wire fraud and one count of obstruction of justice after confessing that he had clandestinely transferred $2.5 million from an account at Union Bank of California into an online stock brokerage account with TD Ameritrade Inc.
3 minute read
June 11, 2013 |

Schwab Topping Goldman Sachs Presages Return To Stocks

Shares of discount brokers are gaining the most since 2003 compared with the Standard & Poor's 500 Index, a sign that small investors are joining the four-year bull market even after U.S. stocks suffered their biggest losses in six months.
7 minute read
November 03, 2009 |

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.
3 minute read

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