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Investment Advisor September 2009 Melanie Waddell	Suits Against Financial Firms Driving Litigation Activity In the first half of 2009 suits against financial services firms and foreign firms increased.
Investment Advisor February 2009 Elizabeth D. Festa	Industry Hit by Class Actions The subprime/liquidity crisis has led to 97 federal securities class action filings in 2008.
Registered Rep. September 1, 2006 Kristen French	Class Act Securities class-action lawsuit filings were at their lowest level in a decade in the first half of this year, according to a recent report.
Investment Advisor May 2010 Melanie Waddell	Settlements On Rise The total value and number of securities class action settlements increased in 2009 to $3.8 billion.
Investment Advisor April 2009 James J. Green	B/D Briefing: Calm Before the Storm? A new report found that the average securities class action settlement was halved in 2008, but the authors of Securities Class Action Settlements: 2008 Review and Analysis, caution that the reported decrease doesn't constitute a trend.
The Motley Fool April 21, 2004 Bill Mann	Attack of the Killer Attorneys It's inevitable in every investor's career that he or she will hold a company that will attract class action lawsuits alleging some form of securities fraud.
Registered Rep. January 1, 2005	An Encouraging Sign Is the worst of the arbitration onslaught over? Through October, there were 7,008 complaints filed with the NASD.
Registered Rep. May 1, 2004	Cutting the Pace of Cost-Cutting New numbers from the Securities Industry Association suggest that cost-reduction efforts are easing.
The Motley Fool December 7, 2005 Rich Duprey	Inside the SEC Filing Maze Need help digging out information before you invest? Let us give you a hand. Here's a map to some of the best sites to help you navigate the maze.
The Motley Fool April 1, 2005 Bill Mann	AIG: A Curious Incident Class action firms sue companies over nothing. Why haven't they sued AIG over a $60 billion something?
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
Investment Advisor March 2008 Kara P. Stapleton	Keeping Up Quote: Rob Hegarty, managing director of TowerGroup's Securities & Investments practice.
Registered Rep. February 11, 2004 John Churchill	Dueling Trend Lines on Complaints Brokers have become more attuned to investor complaints in recent years, but they must be forgiven if they're having a hard time drawing conclusions from the trend numbers reported by regulators.
BusinessWeek September 17, 2009 Michael Orey	Commentary: Do Shareholder Class Actions Make Sense? Not when they extract payments from innocent shareholders and let fraudsters off the hook.
Financial Planning July 1, 2011 Donna Mitchell	Hot Topics FINRA steps in... $80 million settlement of two class-action suits by Securities America... Whistleblower payday...
Information Today November 20, 2014	LexisNexis Knowledge Mosaic Gets New Name and Enhanced Features Compliance, transactional, disclosure, and regulatory information is now readily available and includes historical as well as up-to-date content.
The Motley Fool April 19, 2010 Jennifer Schonberger	The S&P 500's Biggest Movers Regulatory news puts a dent in the market.
Wall Street & Technology July 1, 2005 Maria Santos	Fast Facts According to the Securities Industry Association's 2004 Investor Survey, nine out of 10 investors are "very" or "somewhat" satisfied with the service provided by their investment professional.
Registered Rep. May 1, 2005 Richard Roth	The Worst is Over---Probably It's clear then that brokerage firms and retail brokers alike will be glad when the all-clear has sounded and Wall Street can stop looking over its shoulder and get back to work.
Registered Rep. January 1, 2006 Kristen French	Help Wanted Securities Industry employment topped the 800,000 mark in November for the first time since February 2002.
Registered Rep. July 25, 2011 Diana Britton	Another IBD-Seller of Private Placements Goes Belly Up Meadowbrook Securities, another independent broker/dealer that sold problematic private placements by Medical Capital and Provident Royalties, has gone belly up.
Registered Rep. December 10, 2003 David A. Gaffen	Securities Revenues Fall in Third Quarter Securities firms showed profits of $3.0 billion in the third quarter of 2003, a 45 percent decline from the second quarter, according to the Securities Industry Association. A significant drop in trading revenue was responsible for the profit hit.
The Motley Fool September 6, 2010 Jesse Emspak	ADC Looks to Settle Suits Ahead of Tyco Sale The telecommunications gear provider is hoping to clear legal hurdles ahead of its sale.
The Motley Fool December 30, 2011	Roundtable: 1 Thing That Surprised Me in 2011 Learn from the year that was from our four analysts.
Information Today August 21, 2008	SEC Announces a New IDEA--The Successor to EDGAR Based on a completely new architecture being built from the ground up, it will at first supplement and then eventually replace the EDGAR system.
Entrepreneur August 2005 Jane Easter Bahls	Action Sacked A new law aims to protect you from class-action suits. Under the new law, all class-action lawsuits with plaintiffs from more than one state will have to be filed in federal courts, which tend to be less sympathetic than state courts to these suits.
The Motley Fool March 7, 2006 Tim Beyers	Get Your Special K You should pay attention when a company you own files its 10-K. These reports offer key data to help you build a richer portfolio.
The Motley Fool October 16, 2008 Zoe Van Schyndel	The Risky Business of Securities Lending Is your mutual fund betting with your money?
The Motley Fool August 20, 2008 Tim Beyers	The SEC Has a New IDEA The Securities and Exchange Commission unveils IDEA, a successor to the EDGAR database that stores filings for thousands of U.S. companies and foreign firms listed on U.S. exchanges.
InternetNews June 18, 2007 Roy Mark	Court Takes IPO Underwriters Off the Antitrust Hook Wall Street investment firms that helped bankroll the high-tech IPO boom of the 1990s are immune from antitrust suits, the U.S. Supreme Court ruled Monday.
The Motley Fool June 19, 2008 Rich Duprey	Finally, Money for Auction-Rate Securities A new product may finally save investors stuck with frozen auction-rate securities.
Investment Advisor September 2007 Palash R. Ghosh	Diamonds Among The Junk High-yield bonds -- those fixed income securities rated below investment grade -- have some advantages over more vanilla-type bond products.
The Motley Fool March 8, 2005 Selena Maranjian	Check the Footnotes, Dude! When you're urged to read annual reports and 10-K reports and other SEC filings from cover to cover, remember that that includes footnotes -- because that's often where you'll find things that the company may hope you won't notice.
Financial Planning August 1, 2008 Andrew Ackerman	In First, Mass. Sues UBS In the first state-level lawsuit against an investment firm over auction-rate securities, Massachusetts has filed securities fraud charges against UBS for selling retail investors auction-rate paper as "liquid, safe, money-market" instruments even though the defendants knew it was not.
Investment Advisor January 2009 Kara P. Stapleton	New Year, Same Issues? It's no secret that the securities and investments industry in 2009 will be shaped by the ramifications of 2008's events.
Information Today August 19, 2002	News Digest LexisNexis to Offer LIVEDGAR Access... Thomson Acquires Lawtel... EDGAR Online Announces 2Q Results, Expands International Coverage
Registered Rep. June 22, 2009 John Churchill	Sir Allen Stanford Indicted Allen Stanford, the flamboyant 59-year-old billionaire CEO of the Stanford Group Companies was indicted Friday on charges of conspiracy to commit securities, mail and wire fraud.
The Motley Fool May 21, 2010 Jennifer Schonberger	The Senate's Cop Cracks Down on Financial Fraud "Fraud and potential criminal conduct were at the heart of the financial crisis," Senator Ted Kaufman (D, Del) said in a speech last month on the Senate floor.
The Motley Fool August 23, 2006 Tim Beyers	Meet the SEC If you're an investor, you have a friend. His name is EDGAR (the acronym for the database hosted by the Securities and Exchange Commission).
BusinessWeek May 20, 2010	Credit-Card Delinquencies Edge Down Whether it was because of the improving economy or tax refunds, credit-card customers were finding it a bit easier to keep up with their bills in April.
On Wall Street October 1, 2008 Donna Mitchell	Auction-Rate Securities Dust Settles, But What About Small Brokerages? Observers expect red faces as regional brokerage customers are left out of the settlements and advisors better prepare for some harsh words.
Commercial Investment Real Estate Nov/Dec 2013 Taylor & Trowbridge	Group Investing Update Changes to securities laws may change your business model.
Registered Rep. July 29, 2013 Steven Kolinsky	How I Survived a High Profile Lawsuit Working with celebrities comes with benefits. But you need to fully understand the risks to your business and name if that relationship turns sour.
The Motley Fool June 14, 2011 Cindy Johnson	Simcere Pharmaceutical Shares Plunged: What You Need to Know Simcere Pharmaceutical Group dropped 10% in intraday trading today as investors continued to doubt the financial health of U.S.-listed Chinese companies.
U.S. Banker May 2010	Be Patient and Let Margins Expand with Time Here are three actions banks can-and should-take today to ensure stronger margins in the future.
The Motley Fool November 15, 2010 Andrew Bond	China Is Still Safe for Investors Recent micro and macroeconomic issues in China should not scare investors away.
IndustryWeek September 1, 2005	Finance: True To Reform New rules affecting the ways companies offer and register securities are slated to take effect on Dec. 1, 2005.
Registered Rep. March 4, 2009 John Churchill	SEC Sued by Stanford Group Advisors for Violation of Constitutional Rights The SEC has frozen client accounts of Stanford Financial Group advisors, and has ordered them not to communicate with their clients. The advisors are fighting back.
The Motley Fool October 18, 2006 Dan Caplinger	Did Bankruptcy Reform Work? A year after new bankruptcy laws took effect, the results are still mixed. What is clear, however, is that many honest people are suffering for the bad actions of a few abusive debtors.
Financial Planning September 1, 2008 Andrew Ackerman	SEC Probes Wachovia The Securities and Exchange Commission enforcement staff has notified Wachovia Bank that they may recommend the SEC file charges against it, as a result of an investigation into alleged anti-competitive bidding practices.