Ira Hammerman News
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When Mary Schapiro steps down as chairman of the U.S. Securities and Exchange Commission this week, she’ll leave behind a commission composed of two Democrats and two Republicans -- an even split that could drag an already sluggish agency to a standstill.
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Ex-Galleon Group LLC trader David Slaine, who helped lead U.S. authorities to investigate the hedge fund firm’s co-founder, Raj Rajaratnam, was sentenced to three years of probation for securities fraud.
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Even with Wall Street and consumer advocates allied in pushing for it, a U.S. Securities and Exchange Commission proposal to raise standards for brokers advising retail investors has run aground.
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Does your broker work for you?
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Two Wall Street groups’ challenge to a U.S. Commodity Futures Trading Commission rule on position limits must first be considered in a trial court, a federal appeals court ruled, dismissing the case.
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The relationship between retail investors and those who advise them may be rewritten after the U.S. Securities and Exchange Commission releases three studies on the regulation of brokers and advisers.
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Investors would rather pay commissions for the financial advice they receive than a fee based on assets under management, said Cerulli Associates .
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Kenneth Heller, a disbarred New York maritime lawyer, was sentenced to 45 days in jail for using an offshore UBS AG account to hide income from U.S. tax authorities.
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The U.S. Securities and Exchange Commission is recommending a common fiduciary standard for brokers and registered investment advisers who provide personalized investment advice.
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