Mar 19, 2013 4:13pm

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

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Apr 02, 2013

Former SEC Head To Help Clients Stay Ahead of Regulators

Mary Schapiro lands at D.C. consulting firm in a role that has her working to help companies stay one step ahead of compliance crackdowns....More
Apr 02, 2013

The Blotter Report: No April Fools Jokes Here

An Indiana advisor is facing fraud charges after he used religion to connect with victims, while a Michigan father and son have allegedly made real....More
Apr 01, 2013

You’re Now a Fiduciary, But It Doesn’t Change Much

This April Fool’s joke, courtesy of former NAPFA Chair Ron Rhoades, is a doozy....More
Mar 22, 2013

Busted For Getting Into Bed Together

The Security and Exchange Commission on Friday accused New-York broker Thomas Belesis and Texas-based hedge fund manager George R. Jarkesy Jr. of....More
Mar 14, 2013

Blotter Report: The Bad Boys of the Brokerages

This week's roundup highlights advisors at several major brokerage firms including Merrill Lynch and Wells Fargo, who have been caught thieving....More
Mar 12, 2013

Priorities Will Take Priority, Says White

Future of the SEC's rulemaking agenda still cloudy after a fast-paced Senate Banking hearing on Mary Jo White's nomination as the regulator's next....More
Mar 08, 2013

FINRA Tackles Rep's Bad Advice to Athletes

FINRA issued an order banning broker Jeffrey Rubin from the industry, claiming the former advisor gave clients bad financial advice and made....More
Mar 08, 2013

Up Next: Expect Warren to Bring the Heat

Expect Sen. Warren to grill Mary Jo White during Tuesday's hearing regarding her proposed leadership of the SEC, especially after the senator's....More
Mar 06, 2013

Ex-Wells Fargo Advisor To Serve 2-Year Sentence

A California judge slapped a two-year prison sentence on a former Wells Fargo advisor accused of stealing $900,000 from his clients, giving the rep....More
Mar 05, 2013

Fiduciary Standard May Not Be in the Cards

Many forget that the SEC is not mandated to come out with a fiduciary standard, and the agency said it hasn't determined whether it will move forward....More
Mar 04, 2013

Former Ameriprise Rep's Misdeeds Cause Firm Pain

Like a ghost, bad advisors can haunt a firm long after alleged misdeeds are uncovered and their corporeal selves no longer inhabit the office....More
Mar 01, 2013

SEC Fiduciary Standard Moves Ahead…At a Snail’s Pace

The SEC finally released their request for information on the impacts of proposed fiduciary standard regulation, almost a year after the regulator....More
Feb 27, 2013

Congressional Grilling of SEC Chair Nominee Not Good for Wall Street

Congress’ grilling of the nominee for SEC Chair Mary Jo White is an early indication that she'll come out swinging, to prove that she can be tough on....More
Feb 25, 2013

If Investors Have No Recourse in Class Actions, Will They Turn to Advisors?

Last week, a FINRA panel upheld Schwab’s customer agreements requiring customers to take disputes into arbitration. If other firms follow suit, does....More
Feb 22, 2013

Up Next: Congress To Review Feds' Monetary Policy

With the looming sequester only a week away, a flurry of committee hearings and agency meetings have understandably been scheduled to address the....More
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Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun.

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