India's stock market regulator, the Securities & Exchange Board of India, seems to be a believer in learning from others' mistakes. SEBI officials have been searching for lessons from the debacle at U.S. brokerage firm MF Global Holdings ...
By Shefali Anand India's stock market regulator, the Securities & Exchange Board of India, seems to be a believer in learning from others' mistakes.
WASHINGTON—A federal judge Thursday handed the Securities and Exchange Commission a partial victory in its suit against an agency that insures U.S. brokerage accounts to force it to pay investors in R. Allen Stanford's alleged $7 billion ...
Japan's Daiwa Securities Group Inc. stepped up its job-cutting plans Tuesday, while South Korea's Samsung Securities Co. is laying off staff in Hong Kong, the latest moves by securities firms to scale back their overseas operations in the ...
The Canadians are coming: Two firms are making an aggressive push south into the crowded New York City commercial brokerage business bringing big wads of cash in their parkas.
As the MF Global Holdings Inc. bankruptcy proceedings drag on, some customers who had brokerage accounts at the firm are becoming increasingly doubtful that they will get all of their money back.
Several executives and other employees in Jefferies Group Inc.'s prime-brokerage unit threatened to leave the firm in a dispute over issues including a recent restructuring and year-end compensation, people familiar with the matter said.
New Mark at Newmark BGC Partners Inc., a spinoff of Cantor Fitzgerald, closed last month on its purchase of Newmark Knight Frank, one of New York's oldest commercial brokerage firms.
For the managers of a relatively new or small mutual fund, landing a spot in a brokerage company's mutual-fund advisory program is like finding the Holy Grail: It's a virtual guarantee that a fund will have a lot of money coming in—as long ...
So far, 2012 is shaping up as the year of the little brokerage that couldn't. On Tuesday, Ticonderoga Securities LLC became the second firm this year to announce the close of stock-trading operations. Two other securities firms have sharply ...
TOKYO—If Moody's Investors Service makes good on its threat to downgrade Nomura Holdings Inc.'s credit rating to one notch above "junk," observers say, it would cloud the Japanese brokerage's cherished but still-distant goal of becoming a ...
U.S. lawmakers plan to scrutinize the relationship between former MF Global Holdings Ltd. Chief Executive Jon S. Corzine and the credit-rating firms that downgraded the brokerage as it hurtled toward bankruptcy, according to a person ...
The Supreme Court's decision Tuesday to decline to hear a lawsuit brought against the brokerage industry's regulator has many advocates worried the watchdog is growing too powerful.
NEW YORK (MarketWatch) — It’s three months past bankruptcy. Do you know where your MF Global Holdings Ltd. money is? Neither does the firm. But for everyone who doesn’t have an MF Global account, can you really be sure that the brokerage ...
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