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EXCLUSIVE INVESTIGATION: Penny-Stock Broker Gets Indicted, but What Took So Long?

In 2011, the brokerage firm LPL Financial fired Larry S. Werbel for selling penny stocks to investors, breaking the firm's rules. He stayed in business for another five years.

Is the Madoff Miniseries Making You Nervous About Your Broker?

Investors watching the ABC show about the convicted fraudster might well wonder whether they are working with a dishonest advisor. Here's how to make sure you don't get taken.

Chamber of Commerce Gives Wall Street, Polluters What They Pay For

Thomas J. Donohue, president of the powerful U.S. Chamber of Commerce, gives his annual 'State of American Business' speech this week. Expect the usual 'regulation is bad' blather.

Fat Cats, Here's Your Shot at Fame: 2015's Most Shameful Award-Winners

2015 was a winner for brokerage firms and other businesses that hoarded tax breaks and sought to reduce their obligations to the public. We honor the dubious achievers.

Vanguard Is Popular With Investors, but Not All Its Employees

Vanguard will set a record this year for the most new funds coming into a mutual fund complex. Employees say the company's wins come at a big price.

Wall Street Has a Unique Way of 'Protecting' Small Investors

The Department of Labor is in the final stages of writing a rule that would raise the standards for stockbrokers giving retirement advice. Wall Street is apoplectic over the idea.

Lost Money in the Markets? Wall Street Thinks It's Your Own Fault

Brokerage firms send a strong message that they are trusted advisers to small investors. But file a complaint against them and it's suddenly your fault.

7 Reasons Investors Should Often Avoid What Wall Street Is Selling

Wall Street pitches some of its most complicated products to Mom and Pop investors. The customers don't understand how they work. Neither do some of the brokers who sell them.

Wall Street Wants to Protect Older Investors -- to a Point

Protecting senior investors from exploitation is all the rage these days. But Wall Street's push to protect its elderly customers is focused on bad guys outside the industry.

Arthur Levitt, Former SEC Chief, Blasts Lawmakers Who Attack Regulators

A former SEC chairman says he can remember no time in history when securities regulation was under so much attack. Regulation is out of fashion, he says.

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