Mar 19, 2013 4:13pm

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

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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
Sep 19, 2013

The Blotter Report: Sweet Surrender

An Indiana investment advisor on the run as a six-month fugitive turns himself in this week, while a Florida couple sticks it to CitiGroup over a bad....More
Aug 22, 2013

The Blotter Report: Mischief Managed

Deep in the Heart of Utah A former Houston-based investment manager pled guilty to participating in a $72 million insider investment fraud scheme....More
Aug 15, 2013

The Blotter Report: A Fool & His Money

Several clients are facing multi-million dollar losses because they didn't follow an important rule: If it sounds too good to be true, it probably is....More
Aug 01, 2013

The Blotter Report: A Host of Superior Scams

A team of brothers-in-law is facing jail time for orchestrating a $96 million Ponzi scheme used to maintain a beachfront resort, while a Florida....More
Jul 18, 2013

The Blotter Report: It's Never Over

For convicted insider trader Rajat Gupta and a former Merrill Lynch advisor on the hook for check fraud, the fun continues as more regulators jump on....More
Jul 11, 2013

The Blotter Report: Party's Over

A New Jersey advisor's party ground to a halt this week, while regulators put a stop to a national radio star's allegedly misleading investment....More
Jun 20, 2013

The Blotter Report: Bad Apples Get the Boot

The CFP Board permanently barred several advisors this week from using the expert designation, while FINRA went after another on charges of theft and....More
Jun 19, 2013

Republicans Take Aim at DOL's Fiduciary Push

House Republications approved a bill Wednesday aimed at stalling the DOL's fiduciary rulemaking but don’t expect it to knock Phyllis Borzi out of 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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