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Fund industry is concerned about idea of quarterly updatesInvestmentNews (March 10, 2008 11:01 pm) -- While mutual fund companies and brokers are enthusiastic about a proposal to simplify fund…
High-court ruling on 401(k) may open floodgates of litigationLast week's U.S. Supreme Court decision to allow individual participants to sue 401(k) plan administrators will put further pressure on…
Fuss Over Broker Expungement Continues, by Kristen Frenchwealthmangement.com (January 29, 2008) -- Apparently, some people still think it’s far too easy for brokers to wipe their records clean,…
Brokers are unnamed in lawsuits all the time, observers sayInvestment News (January 14, 2008 - 11:01 pm) -- The Financial Industry Regulatory Association encourages investors to check on the…