Site That Tracks Brokers Questioned on Erased Cases
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A free online service allows investors to check up on brokers to see if they have had run-ins with regulators or clients. But hundreds of complaints are erased each year.
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Federal prosecutors are looking for  U.S. ties to French bank Societe Generale's  trading  scandal, for example transactions that went through a U.S.  broker, The Wall Street Journal reported on Wednesday.
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Preliminary investigations in New York, Connecticut and California suggest that insurance companies frequently pay insurance brokers and agents undisclosed compensation -- including cash, loans
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New York State prosecutors are investigating whether Wall Street banks withheld information about the risks posed by investments linked to subprime mortgages.
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Police and prosecutors are worried that a Web site claiming to identify more than 4,000 informants and undercover agents will cripple investigations and hang targets on witnesses.
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Blog: A lawyer-rating site that inexplicably gave convicted felons higher numeric scores than law school deans is, in a move that was probably entirely predictable, being sued.
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A congressional inquiry into online data brokers has raised concerns that federal and local law enforcement may be skirting privacy laws to obtain calling records
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Securities regulators are examining whether brokerage firms lavished golf outings, Super Bowl tickets and other gifts on mutual fund advisers to get them to bring their trading business to the firms.
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NEW YORK, Nov. 8 -- The Securities and Exchange Commission is investigating whether more than a dozen big brokerage firms failed to execute certain trades at the best possible prices for individual investors, sources familiar with the probe said.
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Strange stirrings at advertising broker
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New York prosecutors are investigating whether Wall Street banks withheld information about the risks stemming from subprime loan-linked investments, The New York Times reported on Saturday.
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Morgan Stanley employees mined the CareerBuilder.com website for personal data such as phone numbers to make cold calls pitching financial products, Massachusetts Secretary of State William F. Galvin alleged in a complaint filed yesterday.
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NASD, which is the regulatory arm of the Nasdaq stock market, and the Securities and Exchange Commission are investigating about two dozen firms, including brokerage firms and mutual fund companies, to determine whether brokers handed out expensive gifts
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A Web site operated by Ron Harper Jr. was misidentified in a story in Friday's Intelligencer Journal. The Web site is 5thEstate.com.           The Intelligencer Journal wants to correct substantive errors of fact.
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Key evidence in a terrorism case includes forum posts. A bewigged judge admits, "I do not really understand what a website is."
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As previously announced, KB Home's past stock option grant practices are  being investigated by the Securities and Exchange Commission. The  Department of Justice is also looking into these practices but has  informed KB Home that it is not a target of this investigation.
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The U.S. Securities and Exchange Commission is investigating about a dozen brokerage firms that may have failed to obtain the best price for stocks traded for customers, a source familiar with the matter said on Monday.