Topic: U.S. Securities and Exchange Commission

SEC files civil fraud charges against investment adviser, firm over mortgage-tied securitiesFederal regulators have filed civil fraud charges against an investment adviser and his firm in connection with complex securities tied to mortgages during the housing market bust.The Securities and Exchange Commission ...

ALL BUSINESS: Congress should force all financial advisers to disclose conflicts of interestYour financial adviser might be acting like a doctor who prescribes certain medicine only because he's on a drug company's payroll and then neglects to tell you about it.Not all ...

Since the SEC's probe, Goldman Sachs Group Inc. (GS) shares have dropped more than 20%, but reversed course on Friday rising as much as 5.4%. Reuters reported market sources confirmed that the jump in Goldman shares was based on rumors, first reported ...

A fixed indexed annuity is the PR makeover name for the equity-indexed annuity. In particular, the Securities and Exchange Commission (SEC) attempted to step in starting January 12, 2011 to regulate fixed indexed annuities as securities. The pros and cons of fixed ...

Part one of the Understanding Annuities series discussed the differences of annuities and bank CDs. Part two will explore how safe this retirement investment is by discussing the different types of annuities and their governing bodies. Variable annuities perform similar to mutual ...

NEW YORK/WASHINGTON (Reuters) - Fabrice Tourre and his girlfriend talked like a couple very much in love.They emailed back and forth about how they wanted to curl up in each other's arms and how they looked forward to tender moments together. Tourre, ...

According to the fraud complaint against Goldman Sachs (GS), the SEC alleges that John Paulson, manager of a large hedge fund company, paid $15 million to get GS to structure a synthetic derivative which would allow him to short billions of dollars ...

Tiffany Chief Executive Michael J. Kowalski made $6.2M in 2009, up 48 percent from a year agoMichael J. Kowalski, the chief executive of jewelry retailer Tiffany & Co., received compensation the company valued at $6.2 million, up 48 percent from a year ...

4 states, SEC take accuse Morgan Keegan of fraud costing investors $2 billionFour states and federal regulators have taken action against Morgan Keegan & Co., accusing the brokerage firm of costing investors, including retirees, more than $2 billion through fraudulent and reckless ...

Securities and Exchange Commission The Investment Adviser Act of 1940 states that an Investment Adviser is a person who buys and sells securities as a regular part of business and receives additional compensation for it. You must have fewer than six clients ...