Mar 19, 2013 4:13pm

The Blotter Report: It’s a Greedy, Greedy Game

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Jun 26, 2014

Arbitrator Rule Should Be Based on Data, Not Perception

Don Runkle, former head of compliance for Raymond James and current director of consulting services at Edgerton....More
Jun 23, 2014

FPA Pushes For Senate User-Fee Bill

The Financial Planning Association is seeking to resurrect the concept of allowing the Securities Exchange Commission to collect fees to fund advisor....More
Jun 17, 2014

The Blotter Report: When the Jig is Up

A New York investment advisor's luck runs out when the SEC claims the firm is raiding client funds to pay for vacation homes and luxury items....More
Jun 12, 2014

FSI Skeptical About FINRA BrokerCheck Rule Feasibility

Will FINRA’s proposed rule requiring firms to link to BrokerCheck records increase investor awareness? The Financial Services Institute remains....More
Jun 10, 2014

IAA To SEC: No Third-Party SRO Exams

Investment adviser advocates are on the offensive following SEC Commissioner Dan Gallagher’s bid to look at possibility of an SRO (self regulatory....More
Jun 04, 2014

Compliance is the Seat of Power & Responsibility

Compliance officers take note: with great power comes great responsibility....More
May 29, 2014

Alleged Chicago Con Man Busted

The owner of two Chicago-based investment advisory firms is facing civil and criminal charges on Wednesday after authorities allege he operated a....More
May 16, 2014

The Blotter Report: Swindlers and Thieves

A California man was forced to pay $22 million after the SEC caught up with him. Closer to home, a former advisor employed with Citigroup and First....More
Apr 29, 2014

SEC Chair Wants to Settle Fiduciary Uncertainty This Year

Chair Mary Jo White called the fiduciary standard an “extraordinarily high priority” for the Securities and Exchange Commission, saying it’s her goal....More
Apr 29, 2014

Regulation Nation

Regulators produced over 3,000 new rules and regulations last year, racking up $1.863 trillion in compliance costs and economic impact, according to....More
Apr 15, 2014

The Blotter Report: Sneaky Suspects

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....More
Apr 03, 2014

FINRA Cases Decrease, But Fines Increase

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....More
Apr 02, 2014

The Blotter Report: Eating the Paper Trail

Would-be fraudsters beware: Eating the evidence will not deter the Securities and Exchange Commission. A Morgan Stanley stockbroker and an employee....More
Mar 31, 2014

No ‘Get-Out-of-Jail-Free’ Card for Financial Firms

Manhattan U.S. Attorney Preet Bharara put financial companies on notice Monday, saying he will hold institutions, not just individuals, accountable....More
Mar 26, 2014

Could One Cyber Threat Take Down Your Practice?

Target will live. But one data breach could bring down an investment advisor practice, speakers said during an SEC roundtable. Are small RIAs being....More
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Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun.

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