Darren J. Caris, an investment adviser based in Encinitas, California, faces SEC fraud charges over a cherry-picking scheme that steered winning trades to his personal account while clients absorbed the losing side. The complaint, filed
SEC Charges Encinitas Adviser Darren Caris in Cherry-Picking Scheme Over Client Accounts Read More »
Morgan Stanley reported third-quarter earnings of $3.03 per share on October 14, beating consensus estimates near $2.91, as equities trading revenue jumped 41 percent to $5.8 billion. Net revenues rose 12 percent from a year
Global central banks and other indirect bidders took down more than 80 percent of this week’s $39 billion 10-year Treasury auction. It was the richest-yielding sale since November 2000, with benchmark yields holding near their
PepsiCo topped Wall Street estimates in its third-quarter report on October 8, but the snack and beverage company lowered its full-year profit outlook as North American margin pressure persisted. The results keep the dividend safe
PepsiCo Q3 Earnings Beat Estimates but Full-Year Profit Guidance Comes Down Read More »
FINRA has barred Robert Wayne Thompson, a Houston broker with more than four decades in the securities industry. He refused to provide information in an investigation into allegations that he misappropriated more than $2.3 million
Wells Fargo will report third-quarter results on Tuesday, October 13, and JPMorgan Chase and Citigroup are expected to open bank earnings season the same morning. For income investors, the week is the first hard test
Bank Earnings Season Opens October 13: JPMorgan Dividend Coverage Faces Its Q3 Test Read More »
FINRA has barred former LPL Financial broker Rudy Anguiano after finding he converted $1.73 million from two customers’ accounts and routed the money to a limited liability company he solely owned. The regulator announced the
FINRA Bars LPL Broker Rudy Anguiano Over $1.73 Million in Client Funds Read More »
Starbucks (NASDAQ: SBUX) raised its quarterly dividend to $0.63 per share on October 7, 2026, extending its growth streak to sixteen consecutive years. The increase is modest, but it signals the board’s continued confidence in
Starbucks Raises Quarterly Dividend to $0.63, Extending Streak to 16 Years Read More »
FINRA has barred William H. Sandeman, a former Wedbush Securities broker based in Seattle, after finding that his recommendations cost 81 retail customers more than $3.5 million. The regulator said Sandeman pushed volatility-linked and non-traditional
FINRA Bars Former Wedbush Broker William Sandeman Over $3.5 Million in Customer Losses Read More »
Former Western Asset Management co-chief investment officer Stephen Kenneth Leech II faces a $3 million penalty and an officer-and-director bar under a consent judgment the SEC moved to enter on October 6, 2026. The filing
Ex-Western Asset co-CIO Ken Leech faces $3 million penalty in cherry-picking case Read More »
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