First, the chairman of Gunn- Allen Financial's parent company resigned abruptly this month. Now a securities regulator is probing its books. ...more

December 15, 2009

First, the chairman of GunnAllen Financial's parent company resigned abruptly earlier this month. Now a securities regulator is probing its books. ...more

December 14, 2009

A court-appointed trustee unraveling Bernard Madoff's massive fraud so far has allotted $231 million from a securities industry fund that compensates victims - a record amount for the fund, but a mere fraction of what was lost. ...more

July 2, 2009

Investigators pouring over Bernard Madoff's books said they have discovered the money manager falsified documents to hide massive losses to investors in a fraud case that could take months to unravel, an official helping to oversee the firm's liquidation said. ...more

December 17, 2008

A recent decision by a federal appellate court goes a long way to protect investors. ...more

August 3, 2008

Securities regulators from several U.S. states on Thursday raided the St. Louis headquarters of Wachovia Securities, seeking documents and records on the company's sales practices. ...more

July 18, 2008

An investigation by federal and state regulators of 'free lunch' investment seminars aimed at seniors has found high-pressure sales pitches masquerading as educational sessions, pervasive misleading claims for unsuitable financial products, and even fraud. ...more

September 11, 2007