Rulebook http://wealthmanagement.com/blog/246001/feed Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun. en The Blotter Report: Sneaky Suspects http://wealthmanagement.com/blog/blotter-report-sneaky-suspects <div class="node-body blog-body">The owner of a failed New York City-based brokerage firm and his partner are busted for an international kickback scheme, while on the other side of the country a Honolulu woman is charged with using fake credentials to swindle investors. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/blotter-report-sneaky-suspects" target="_blank">read more</a></p> http://wealthmanagement.com/blog/blotter-report-sneaky-suspects#comments Blogs Legal Rulebook Tue, 15 Apr 2014 13:42:00 +0000 537141 at http://wealthmanagement.com FINRA Cases Decrease, But Fines Increase http://wealthmanagement.com/blog/finra-cases-decrease-fines-increase <div class="node-body blog-body">The number of FINRA enforcement cases aimed at financial firms may be down slightly so far this year, but the fines themsleves are on the rise.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/finra-cases-decrease-fines-increase" target="_blank">read more</a></p> http://wealthmanagement.com/blog/finra-cases-decrease-fines-increase#comments Blogs Regulation & Compliance Rulebook Thu, 03 Apr 2014 21:29:00 +0000 529581 at http://wealthmanagement.com The Blotter Report: Eating the Paper Trail http://wealthmanagement.com/blog/blotter-report-eating-paper-trail <div class="node-body blog-body">Would-be fraudsters beware: Eating the evidence will not deter the Securities and Exchange Commission. A Morgan Stanley stockbroker and an employee at a prominent New York law firm found that out the hard way when the two were charged with insider trading last month.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/blotter-report-eating-paper-trail" target="_blank">read more</a></p> http://wealthmanagement.com/blog/blotter-report-eating-paper-trail#comments Legal Regulation & Compliance Rulebook Wed, 02 Apr 2014 17:54:00 +0000 528481 at http://wealthmanagement.com No ‘Get-Out-of-Jail-Free’ Card for Financial Firms http://wealthmanagement.com/blog/no-get-out-jail-free-card-financial-firms <div class="node-body blog-body">Manhattan U.S. Attorney Preet Bharara put financial companies on notice Monday, saying he will hold institutions, not just individuals, accountable for crime—no matter how big the firm's reach. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/no-get-out-jail-free-card-financial-firms" target="_blank">read more</a></p> http://wealthmanagement.com/blog/no-get-out-jail-free-card-financial-firms#comments Blogs Legal Regulation & Compliance Rulebook Mon, 31 Mar 2014 15:40:00 +0000 526531 at http://wealthmanagement.com Could One Cyber Threat Take Down Your Practice? http://wealthmanagement.com/blog/could-one-cyber-threat-take-down-your-practice <div class="node-body blog-body">Target will live. But one data breach could bring down an investment advisor practice, speakers said during an SEC roundtable. Are small RIAs being left out in the cold?</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/could-one-cyber-threat-take-down-your-practice" target="_blank">read more</a></p> http://wealthmanagement.com/blog/could-one-cyber-threat-take-down-your-practice#comments Blogs Technology Regulation & Compliance Rulebook Wed, 26 Mar 2014 21:18:00 +0000 523231 at http://wealthmanagement.com The Blotter Report: Career Criminals http://wealthmanagement.com/blog/blotter-report-career-criminals <div class="node-body blog-body">It seems that some fraudsters are in trouble over and over. An ex-Merrill Lynch advisor out of Boston is being charged for additional fraud after she was convicted in 2012. Meanwhile, two men masquerading advisors are brought to justice after fleecing dozens of investors using investment scams. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/blotter-report-career-criminals" target="_blank">read more</a></p> http://wealthmanagement.com/blog/blotter-report-career-criminals#comments Blogs Rulebook Mon, 03 Mar 2014 22:26:00 +0000 506871 at http://wealthmanagement.com The Blotter Report: New Year, Same Scams http://wealthmanagement.com/blog/blotter-report-new-year-same-scams <div class="node-body blog-body"><p><strong><span style="font-size: 13px;">What are Friends For?</span></strong></p> <p>A life-long friendship that began in Long Island ended in allegations of a $9 million insider-trading scheme last week. On January 16, FINRA barred former J.P. Morgan Securities David Michael Gutman and his broker Christopher John Tyndall, a former advisor at Meyers Associates.</p></div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/blotter-report-new-year-same-scams" target="_blank">read more</a></p> http://wealthmanagement.com/blog/blotter-report-new-year-same-scams#comments Blogs Legal Rulebook Tue, 21 Jan 2014 15:54:00 +0000 476961 at http://wealthmanagement.com SIFMA Chief Slams FSOC's Coordination Efforts http://wealthmanagement.com/blog/sifma-chief-slams-fsocs-coordination-efforts <div class="node-body blog-body">SIFMA’s new CEO and President Ken Bentsen called out the Financial Stability Oversight Council, saying the group charged with facilitating coordination between agencies is not fully holding up its responsibility.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/sifma-chief-slams-fsocs-coordination-efforts" target="_blank">read more</a></p> http://wealthmanagement.com/blog/sifma-chief-slams-fsocs-coordination-efforts#comments Blogs Industry Rulebook Thu, 16 Jan 2014 17:29:00 +0000 474401 at http://wealthmanagement.com Regulatory Revolving Door Not Bad http://wealthmanagement.com/blog/regulatory-revolving-door-not-bad <div class="node-body blog-body">The revolving door between Wall Street executives and Washington regulators should not be decried, but perhaps celebrated.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/regulatory-revolving-door-not-bad" target="_blank">read more</a></p> http://wealthmanagement.com/blog/regulatory-revolving-door-not-bad#comments Blogs Rulebook Thu, 12 Dec 2013 19:32:00 +0000 452811 at http://wealthmanagement.com The Blotter Report: Life Behind Bars http://wealthmanagement.com/blog/blotter-report-life-behind-bars <div class="node-body blog-body">An investment advisor known for his publications on investing and avoiding financial fraud is arrested for swindling an elderly client, while two other advisors settle up with authorities over their alleged misdeeds. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/blotter-report-life-behind-bars" target="_blank">read more</a></p> http://wealthmanagement.com/blog/blotter-report-life-behind-bars#comments Blogs Rulebook Mon, 09 Dec 2013 15:24:00 +0000 449801 at http://wealthmanagement.com