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Securities

A collection of news and information related to Securities published by this site and its partners.

Top Securities Articles see all

Displaying items 1-5
  • T. Rowe Price chairman to give up portfolio management role

    T. Rowe Price chairman to give up portfolio management role
    The chief investment officer and chairman of T. Rowe Price will step down next year as portfolio manager of one of the company’s biggest investment funds.
  • Legg Mason unit agrees to $21 million fraud settlement

    Legg Mason unit agrees to $21 million fraud settlement
    A California-based unit of Legg Mason Inc. agreed to pay more than $21 million to settle government charges that it defrauded clients by not properly informing them of losses caused by improper investments and by engineering trades between clients that...

    Former Towson broker found liable for clients' retirement losses

    Former Towson broker found liable for clients' retirement losses
    A former Towson-based financial advisor for Signator Investors Inc. was found liable, along with the firm, for losses of elderly clients' retirement funds, according to a decision Tuesday by arbitrators for a securities industry regulator. The Financial...

    SEC lifts advertising ban for private securities

    SEC lifts advertising ban for private securities
    Coming this fall: advertisements pitching the opportunity to buy into hedge funds, private equity funds or early-stage companies. The Securities and Exchange Commission lifted last week a Depression-era ban against private companies advertising the sale...

    Founder of Carroll County company sentenced in securities fraud case

    Founder of Carroll County company sentenced in securities fraud case
    A Westminster man was sentenced to 37 months in prison Wednesday for securities fraud related to the sale of $1.9 million in stock in his company, according to federal prosecutors. John F. "Jef" Curran III also was ordered to repay $1.25 million to...