Suzanne Barlyn

(Reuters) - Massachusetts' securities regulator filed civil charges on Wednesday against LPL Financial LLC for failing to supervise its brokers who sold investments in non-traded real estate investment trusts (REITs),...

(Reuters) - Financial advisers and the clients they counsel often share a key attribute: an aversion to confronting their own mortality. Investors who wait too long to plan for the...

(Reuters) - Massachusetts' securities regulator filed civil charges on Wednesday against LPL Financial LLC for failing to supervise its brokers who sold investments in non-traded real estate investment trusts (REITs),...

(Reuters) - Financial advisers and the clients they counsel often share a key attribute: an aversion to confronting their own mortality. Investors who wait too long to plan for the...

(Reuters) - Morgan Keegan & Co. has asked a federal court to resolve its dispute with retired basketball player Horace Grant over $333,000 in interest that Grant says the brokerage...

(Reuters) - Merrill Lynch may be one step closer to ending its battle with former brokers who say the firm denied them deferred compensation when they left after the brokerage...

(Reuters) - Merrill Lynch may be one step closer to ending its battle with former brokers who say the firm denied them deferred compensation when they left after the brokerage...

NEW YORK (Reuters) - A U.S. judge has sided with a UBS AG request for arbitration in a proposed class-action lawsuit seeking overtime pay brought by three former financial advisers...

NEW YORK (Reuters) - A U.S. judge has sided with a UBS AG request for arbitration in a proposed class-action lawsuit seeking overtime pay brought by three former financial advisers...