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Free Reports

A Fake Suicide Note as Evidence? It's Not Kafka, It's Finra

In August, eight investors were awarded $1.28 million in an arbitration against FSC Securities. But the firm hasn't paid up and is mounting an aggressive defense.

Retirement Fallout From a Penny-Stock Scam: 'We Don't Do Hardly Anything'

Twenty investors await a Finra arbitration hearing in September against two clearing firms that handled their trades in a penny-stock fraud. Did COR Clearing and Wilson-Davis ignore obvious red flags?

How Many Bad Brokers Could There Be? Don't Play the Percentages

Three finance professors examined data for 1.2 million people with licenses to work on Wall Street. They unearthed unsettling news about the nation's stockbrokers. Industry representatives call the study 'flawed.'

How Many Bad Brokers are Out There? More Than You Realize

A survey on misconduct by financial advisers finds that nearly three-quarters of misbehaving brokers still have a job one year after being cited for wrongdoing.

Vanguard Says Sending 71 Account E-Mails to Wrong Investor Was ‘Isolated Matter’

The mutual fund giant Vanguard Group sent a customer dozens of transaction confirmations for other people's accounts. It isn't the first time the firm's security has been questioned.

Jamie Dimon's Makeover: From Whiner to Would-Be Statesman

The JPMorgan CEO is famous for his attacks on regulators and complaints that his company is getting picked on. So what's with the measured new stance?

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.

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