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Page 3 - Douglas Schulz News Today : Breaking News, Live Updates & Top Stories | Vimarsana

Merrill, Pershing victory in arbitration over a hedge fund nets brokerages nearly $3 million in short-selling case

The case shines light on the risks of betting against a company's stock when merger or privatization deals are afoot.

New yorkUnited statesNew jerseyMichael carterMerrrill lynchMellon pershingDavid murdockJo ann palchakDouglas schulzLions gate entertainmentCeladon financial groupMerrill lynchCeladon financial group in morristownCalamos asset managementDelaware chancery courtA financial industry regulatory authority

SEC charges unregistered advisor Peter Krieger with fraud

The SEC's case against a barred former broker shows why regulators and the industry often struggle to catch repeat offenders before they harm investors again.

United statesRick duszynskiPeter kriegerDouglas schulzOban energyExchange commissionColorado based invest securitiesTrans fuelsDallas based lucayanRegulation and complianceFraud prevention

$200K FINRA fine shows how working with regulators is essential

Deloitte Financial Corporate's settlement over recordkeeping allegations probably would have been bitter had the company not cooperated.

United statesBrett evansGoldman sachsDouglas schulzExchange commissionMorgan stanleyCommodity futures trading commissionFinancial industry regulatory authorityDeloitte corporate financeOrange countyCalifornia based evansDeloitte corporateCorporate financeWall streetInvest securities consultingRegulation and compliance

LPL advisor bilked widow for $1 3M: SEC | Financial Planning

A basic scam victimizing a client who has since been diagnosed with dementia evaded any red flags for eight years, according to the SEC.

United statesBradleya goodbredDouglas schulzExchange commissionNorthern lights propertiesInvest securitiesRegulation and complianceFraud preventionLpl financial

SEC rejects FOIA appeal of FINRA oversight papers

After a watchdog found problems with the regulator's examinations, the agency has repeatedly refused FP's requests for the details of them.

United statesDouglas schulzBernie madoffMelinda hardyFinancial industry regulatory authorityGovernment accountability officeWall streetInformation actAssistant general counselAdministrative practice melinda hardyDodd frank lawGreat recessionInvest securitiesPolitics and policyRegulation and compliance

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