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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.
Investment Advisor February 2010	Securities Lawsuits Down The number of federal securities class action law suits filed dropped sharply in 2009.
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.
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.
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.
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.
Reason March 2007 Katherine Mangu-Ward	Data In 2005, 24 out of 25 of the year's largest initial public offerings took place outside the United States. Does that mean American capital markets are losing their appeal?
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.
Registered Rep. December 1, 2006 Janet Arrowood	Life Settlements: Bad Rap, Good Business Regulatory attention to life settlements has intensified as they have taken off in the past few years, and more lawsuits are expected. Despite the bad rap, there are some legitimate and valuable uses of life settlements for advisors and their clients.
The Motley Fool April 27, 2006	Viaticals as Investments Viatical settlements involve a terminally ill person selling his or her life insurance policy to someone else. It's true that these settlements can provide a service for sick people, but they're not necessarily win-win.
The Motley Fool August 16, 2004	Viaticals as Investments Learn more before investing in viatical settlements (when a terminally ill person sells his/her life insurance policy to someone else.) They do have drawbacks.
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. January 1, 2006 Kristen French	Help Wanted Securities Industry employment topped the 800,000 mark in November for the first time since February 2002.
CFO October 1, 2008 Stephen Taub	Enron: Another Final Chapter Ex-shareholders get a drop of solace in the form of $7.2 billion in settlements.
Registered Rep. December 11, 2008	SEC Finalizes $30 Billion ARS Settlement With Citi And UBS The $30 billion settlement is the largest in SEC history and restores liquidity to ARS investors at par value of their holdings.
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.
Registered Rep. June 3, 2009 David Geracioti	ARS Games -- SEC Blames Firms, Settles with BAC, RBC and DEUTSCHE When the auction rate securities market froze up in February 2008, angry clients blamed their financial advisors.
Financial Advisor April 2006 Bruce W. Fraser	Cashing In On Cashing Out Despite the potential for abuse, life settlements (selling life insurance policies early) is a growing industry and may be a viable option for insured seniors and advisors alike -- under the right circumstances.
IndustryWeek August 1, 2007 Brad Kenney	Are You A Software Pirate And You Don't Even Know It? Business Software Alliance aims to stem the tide of pirated business software in manufacturing.
The Motley Fool February 21, 2007 Mary Dalrymple	Life Settlements Laid Out Understand this new marketplace before considering selling your life insurance.
Inc. May 1, 2000 D. M. Osborne	Be Careful What You Wish For On the Road: Silicon Valley companies thought an act of Congress would solve their problems with Bill Lerach and his shareholder lawsuits. But reforms can work in quirky ways.
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.
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.
CFO March 1, 2003 Joan Urdang	Return to Sender? Companies often fail to collect on class-action lawsuits.
Financial Advisor May 2006 Bruce W. Fraser	An Undiscovered Asset Class Most advisors know little about the structured settlements market, yet the dollar amounts in settlements can range into the millions of dollars, thus making them a potentially profitable niche market for wealth managers and other fee-only advisors.
Investment Advisor May 1, 2011 Janet Levaux	Securities America Denies Charges of Departing Reps Anonymous sources insist advisors are leaving or planning to leave the firm
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.
The Motley Fool June 27, 2005 John Reeves	Fool by Numbers: Walgreen Q3 2005 The discount pharmacy released third-quarter earnings: Income Statement Highlights... Margin Checkup...
The Motley Fool February 21, 2007 Mary Dalrymple	Study Before Selling Your Life Insurance If you shun full-service brokers and their high commissions and fees, don't fall for a life settlement that's more in your advisor's interest than your own.
Financial Planning December 1, 2006 Lynn Hume	The Bond Buyer As the popularity of 529 plans has grown, federal regulators have worried that unwitting consumers may be unaware of the state-tax benefits offered by their in-state plans.
Registered Rep. August 7, 2007 Kristen French	Senior Fraud Crackdown Continues The second annual "Seniors Summit" is meant to examine ways in which regulators and other groups can help prevent the overwhelming amount of senior fraud being committed in the securities industry.
Registered Rep. November 8, 2011 Jerry Gleeson	Auction Rate Revenge For tens of thousands of investors who were trapped in the auction rate securities debacle that started in 2008, finances are getting back to normal.
IndustryWeek August 18, 2010	Costly Fraud Some 5% of a manufacturing company's annual revenue is lost to occupational fraud.
Registered Rep. October 27, 2009 Halah Touryalai	Schapiro: Don't Expect Respite From Reform Securities and Exchange Commission Chairman Mary Schapiro lays out a number of regulatory issues the SEC will be paying close attention to in the coming months.
The Motley Fool September 11, 2009 Dan Caplinger	This New Product Could Save Wall Street Financial institutions move to securitize life insurance. In this case, what's good for securities underwriters may be bad for life insurance companies.
Chemistry World May 11, 2015 Phillip Broadwith	Takeda offers $2.4bn to settle diabetes litigation Japanese drug company Takeda has put aside $2.7 billion to cover settlements of US product liability court cases relating to its diabetes drug Actos (pioglitazone).
BusinessWeek July 30, 2007 Matthew Goldstein	Life Settlements: Betting on Death From the Lowinger clan to hedge funds, investors are cashing in on the business of trading unwanted life insurance policies. But buyers should be wary.
Registered Rep. July 30, 2003 Will Leitch	Securities Industry Registers Slight Employment Uptick Securities firms have begun adding employees again, according to statistics from the Securities Industry Association and the Labor Dept.
Registered Rep. October 8, 2008	Bank of America Reaches Second Settlement To Buy Back ARS The agreement closely mirrors the firm's earlier settlement with the Massachusetts Securities Division that was announced in September, 2008.
Wall Street & Technology June 21, 2004	The Trust Factor We're at a point where we trust the technology and we trust the operations, but we don't trust the human beings and the corporations in the securities industry.
The Motley Fool December 21, 2006 Dan Caplinger	Should You Take a Viatical Settlement? Although finances may be a difficult subject to handle during a personal health crisis, taking a viatical settlement may make a big difference in the quality of care that one gets and can take at least one worry away from family members.
Registered Rep. March 28, 2008 David A. Geracioti	More Trouble In Auction-Rate Securities Land The State of Massachusetts Secretary of State is investigating the sales practices of auction-rate securities, to learn how these securities are presented to individual clients in the state.
Registered Rep. July 20, 2009 David A. Geracioti	The Auction Rate Securities Mess Still Lives This time it was TD Ameritrade, without admitting or denying guilt, who settled with the SEC "for making inaccurate statements when selling auction rate securities (ARS) to customers."
Investment Advisor October 2006 Savita Iyer	Seeking Liquidity Is the life settlement business ready to take off? It depends on whether consumers are willing to accept the fact that life insurance policies can be used for purposes other than what they were originally purchased for.
Financial Planning May 1, 2010 Paul Menchaca	The Road Ahead Securities America's executive team seems to view its stellar growth with a mix of pride, and a small degree of hesitation.
Registered Rep. September 10, 2008	Bank of America to Buy Its ARs Back The nation's second-largest bank by assets settled an investigation by Massachusetts regulators, agreeing to buy back $4.5 billion worth of the securities.
The Motley Fool August 10, 2006 Tim Beyers	TASER Tames Legal Tussles A shrewd settlement deal could prove to be very cheap. There's still good reason to remain skeptical of every news announcement that comes from TASER. Investors, take note.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
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...
Wall Street & Technology January 20, 2008 Cory Levine	Fixed-Income Products Fail to Go Fully Electronic New research reveals that not all types of fixed income securities are experiencing rapid electronification.