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NASD
Latest Headlines
Latest Headlines
Still time to comment on new communication rules
Electronic communications are a big deal at Wall Street firms these days. With so many people Blackberrying,
ALSO NOTED: A.G. Edwards misses estimates; More on JPMorgan and Bear Stearns hedge fund; and much more...
Company News: > Credit Suisse downgrades some REITs.
ALSO NOTED: Goldman Sachs boosts stake in British Air.; JPMorgan and Nasdaq together again; and much more...
Company News: > KKR withdraws bid. Article > JPMorgan and Nasdaq together again.
ALSO NOTED: Goldman Sachs lifts rating on NYSE Euronext; CDO boom stokes controversy; and much more...
Company News: > Goldman Sachs lifts rating on NYSE Euronext. Article > TD Ameritrade buys
ALSO NOTED: Former SEC chiefs warn about hedge funds; Merrill Lynch invests in investment firm; and much more...
Company News: > TD Bank beats estimates. Article > Provident Financial to take 4Q charge.
ALSO NOTED: Schwab lowers fund account minimums;Citigroup pledges $50 billion for climate change initiatives; and much more...
Company News: > UBS initiates MasterCard coverage with a buy. Article > Clayton Dubilier targets
Firms face wronged employee suits after scandals
AllianceBerstein was recently ordered to pay $5.3 million to two former employees who felt they were wrongfully terminated in the company's probe of mutual fund abuses. The interesting part is that
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NASD issues warning on margin
The last time the NASD warned that investors were perhaps taking on too much leverage was back in 2003. This time around, the warning seems just as apt, for retail and wholesale investors. The
ALSO NOTED: Citigroup settles with Thomson; Perella Weinberg inks big advisory deal; and much more...
Company News: > Perella Weinberg inks big advisory deal. Article > Citigroup settles
