Mar 19, 2013 4:13pm

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

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Jan 21, 2014

The Blotter Report: New Year, Same Scams

What are Friends For? A life-long friendship that began in Long Island ended in allegations of a $9 million insider-trading scheme last week. On....More
Jan 16, 2014

SIFMA Chief Slams FSOC's Coordination Efforts

SIFMA’s new CEO and President Ken Bentsen called out the Financial Stability Oversight Council, saying the group charged with facilitating....More
Dec 12, 2013

Regulatory Revolving Door Not Bad

The revolving door between Wall Street executives and Washington regulators should not be decried, but perhaps celebrated....More
Dec 09, 2013

The Blotter Report: Life Behind Bars

An investment advisor known for his publications on investing and avoiding financial fraud is arrested for swindling an elderly client, while two....More
Nov 12, 2013

Products & Compensation Still Biggest Conflicts for FAs

The industry needs to do a better job educating both advisors and investors around products, as well as reviewing how advisors are compensated in....More
Nov 12, 2013

Advisors To Keep Waiting on SEC Fiduciary Rule

A fiduciary standard seems to be falling behind a long list of other priorities at the U.S. Securities Exchange Commission these days. Chair Mary Jo....More
Nov 07, 2013

The Blotter Report: Crime Doesn't Pay

Several purported financial advisors found themselves on the wrong side of the law, creating elaborate schemes that ended in grief—for both the....More
Nov 07, 2013

SIFMA Chief Slams DOL's Fiduciary Strategy

SIFMA CEO Judd Gregg called the DOL’s fiduciary proposal an example of "misdirected regulation," saying he supported controversial....More
Oct 28, 2013

Long Wait Ahead for Advisor Fiduciary Standard

There’s no question the continued regulatory uncertainly creates a huge challenge in running an advisory business. Yet solving the biggest challenge....More
Oct 18, 2013

The Blotter Report: Never Trust a Crook

In this week's installment, looks like investors in Florida, New Jersey and Wisconsin are out millions from crooks claiming to be financial advisors....More
Oct 10, 2013

The Blotter Report: Despicable Dealings

Scout's Honor Called the “mini-Madoff” by his victims, a former fund manager for Geneva Fund Investments was convicted on Friday....More
Oct 02, 2013

Next Big Whistleblowers Could Be Advisors

The SEC handed out its largest whistleblower award to date on Tuesday. But next time, it’s likely that could be a financial advisor raking in....More
Sep 26, 2013

Just When You Thought Clients Trusted You…

On a conference call this afternoon, a high-net-worth investor very bluntly expressed her own distaste with advisors, saying, “I think there’s quite....More
Sep 25, 2013

The Blotter Report: Sneaky Strategies Backfire

An advisor and his broker are caught by the SEC after trading on insider info spilled by a tipsy attorney, while another two California FAs are....More
Sep 23, 2013

Hedge Funds Have 'No Appetite' For Mass Advertising

Starting today, hedge funds and other private offerings will be able to advertise for the first time in 80 years. But don't expect clients to see ads....More
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Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun.

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