Bank & Financial

Magazine articles on banks, brokerages, and credit card companies.

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BusinessWeek November 6, 2006 Maria Bartiromo	Big Board, Big Challenges John A. Thain, who took the New York Stock Exchange public earlier this year, is racing to keep the Big Board competitive.
BusinessWeek November 6, 2006 Anthony Bianco	Private Equity At Its Most Private Inside Wasserstein & Co., now thriving after a terrible start in the late 1980s.
BusinessWeek November 6, 2006	Meet the Lazard Wrangler CEO Bruce Wasserstein talks about how he retooled the M&A powerhouse for "the reindustrialization age."
Registered Rep. October 26, 2006 Kevin Burke	NASD Fines B/D for Account Transfer Charges A small independent broker/dealer was slapped with a $50,000 fine and sanctioned for overcharging more than 1,500 customers who decided to follow their brokers to another firm.
Registered Rep. October 25, 2006 Halah Touryalai	Another One Bites the Dust: Broker Fined Record Amount for Market-Timing Scheme The NASD fined Paul Saunders, a registered rep, CEO and majority owner of James River Capital Corporation, $2.25 million. That sum represents the largest fine against an individual for marketing timing, including disgorgement of about $750,000 in illegal profits.
FDIC FYI October 26, 2006	Highlights from the 2006 Summary of Deposits Data This issue of FYI graphically highlights preliminary conclusions from the 2006 Summary of Deposits data regarding information on deposits and offices in operation.
InternetNews October 25, 2006 Ed Sutherland	Financial Firms Join Security Audit Program Five banks have become the latest U.S. financial organizations to join an effort to streamline the assessment of online banking security.
OCC Bulletin November 23, 2006	Public Welfare Investments: Increase in Investment Limits The act also revised the general public welfare investment authority in section 24 (Eleventh).
InternetNews October 23, 2006 Ed Sutherland	Online Brokers Hit By Fraudsters SEC and other regulators investigate millions in losses of E*Trade and TD Ameritrade customers.
Registered Rep. October 23, 2006 John Churchill	Opulence (and a Wee Bit of Strife) at FPA Confab in Nashville Education and networking were on order at the recent annual Financial Planning Association conference.
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