If I owned a wide portfolio of securities I could give them away.
But I do know with these securities, I'm going to get a real return over the life of this holding that is going to protect me in all environments.
In a speech before the state securities regulators I observed that pension scams are far more complex than retail scams.
FORBES: Freakonomics: The Hidden Side of Managing Money ( September 2, 2005 )
This could lead to sales of treasury securities by what I estimate could be about 3% of the mutual and pension funds holdings in those securities.
Mr. WILL ASTON-REESE(ph): (Vice President, Money Market Sales, Tradition Asiel Securities): I'm very scared.
State securities regulators, I believe, have to some extent presumed that corporate pensions were adequately regulated on the federal level.
Ahead of Thursday evening's announcement from Moody's that it is downgrading 15 global banks and securities firms, I spoke to the chief executive and chairman of a couple of very large banks.
Looking at my statistics though it looks like people only want to read about the S and P down- grade of Treasury securities, so I thought I would share my personal experience with the fall-out.
So as Ms. White, Mr. Ceresney and Mr. Canellos begin their great journey together to enforce the securities laws, I congratulate them on their appointment and admire them for having the courage to take important jobs where, no matter what they do, they will be subjected to criticism.
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"The last few years have been difficult in the securities markets, and I accept the board's decision that it's time for me to step aside, " Pottruck was quoted saying in a Schwab (nyse: SCH - news - people ) press release.
Disclaimer: I hold no open positions on any stocks, securities, or options mentioned above, nor do I plan on entering any positions within the next 72 hours.
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That's the North American Securities Administrators Association, because I don't care how much they trust this person, they need to make sure this person is licensed or registered.
When the public company is in the business of money management, offering its services to the investing public, the degree of disclosure required is far greater because of the multiple securities statutes that apply, i.e.
In my May 14 column, which appeared when the recession's severity was still a big unknown, I recommended four convertible securities.
Mr. CHRISTOPHER COX (Chairman, Securities and Exchange Commission): I was very concerned to learn this week that credible allegations about Mr. Madoff had been made over nearly a decade and yet never referred to the commission for action.
Additionally, I found very few attractive securities to buy.
The frozen market for mortgage-backed securities was triggering massive write-downs, i.e. destroying capital, even while the underlying mortgages were still performing.
As the owner of a brokerage firm, I am licensed as a general securities representative, general securities principal, municipal securities principal and financial and operations principal.
As I have often written concerning private securities transactions and outside business activities, the onset of the Great Recession placed tremendous strain upon many stockbrokers and prompted them to seek additional sources of income to replace or supplement their reduced commissions and fees.
FORBES: FOREX Private Securities Transactions Earn Stockbroker Fine And Suspension
" He added, "If I were the Fed, I would stop buying mortgage-backed securities today.
On occasion, I have personally referred such cases to securities regulators and law enforcement.
As I understand it the case held the securities of all customers with margin loans.
Shareholders should care about this, even if the lead plaintiff, the City of Livonia, Mich. does not. (The city west of Detroit has sued Boeing, Wachovia and at least five other companies in the last three years.) As I have observed many times before, securities settlements are paid by shareholders and every dollar that flows to the lawyers is a dollar they no longer own.
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But I'm not sure he understands the securities laws or the legal definition of fraud.
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Shortly after the trial finished, I enrolled in a series of finance and securities courses and studied after work.
After finding the number of my state's securities department, at www.nasaa.org, I called and requested a check of names through the Central Registration Depository.
In June I was invited to speak at the state securities regulators annual conference and advise regarding ramping up scrutiny of pensions at this time.
An earlier investigation by the state Securities Commission found that the actions of the association, i.e. giving investment advice for a fee, may have caused it to fall within the definition of investment adviser under Alabama law.
FORBES: SEC Snoozed As "Shadow Marketers" Skimmed Billions From Retirement Plans
The typical practice in securities class actions, according to lawyers on both sides I have spoken with, is to hire contract attorneys to perform the grunt work of sifting through millions of pages of documents obtained in discovery.
FORBES: Plaintiff Lawyers in Citigroup Case Seek Big Markup For Outside Attorneys
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