Hugh Kennedy
David Edwards is a man who wears many hats for his New York City-based Heron Financial Group. He is the founder, president, portfolio manager and ...
“Idea dinners” frequented by equity research analysts, institutional clients and sales and trading personnel have landed Citigroup Global Markets in hot water. FINRA has fined ...
The CFTC has launched a new website aimed at helping investors better protect themselves against financial fraud. The website, www.SmartCheck.CFTC.gov, offers a tool for investors ...
The results aren’t particularly surprising but surely can’t be ignored any longer. A PricewaterhouseCoopers survey of more than 750 money managers, banks and other financial ...
Four years after the SEC’s adoption of its pay-to-play rule for investment advisers, FINRA is now proposing its own. The SRO’s proposed rule is aimed ...
Schemes involving digital currency and cybersecurity risks, binary options, marijuana-related businesses and stream-of-income investments top the list of emerging threats investors will likely face in ...
The CFTC is placing an increased emphasis on the cybersecurity and business continuity disaster recovery planning efforts of the institutions it regulates. “The need to ...
SEC Commissioner Daniel Gallagher recently took a new stab at his frequent assaults on Dodd-Frank. He stated that the Commission “cannot let Dodd-Frank get a ...
Investors appear to be willing to pay for better protection. A FINRA survey released last week reveals that three-quarters of investors would back additional regulatory ...
The director of the SEC’s Division of Investment Management has taken to the stage a third time to drive home the Commission’s focus on alternative ...