Mar 19, 2013 4:13pm

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

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May 02, 2013

The Blotter Report: Devious Doings

A rogue advisor and a sneaky analyst will be enjoying prison accommodations for the foreseeable future, while another is feeling the heat from a....More
Apr 25, 2013

Guarding the Henhouse From Wolves

As an advisor, it’s likely that someone at some point will lodge a complaint against you. Most of these are meritless and quickly resolved. But....More
Apr 24, 2013

FINRA Withdraws Proposal Requiring BrokerCheck Link

A proposed FINRA rule requiring financial advisors to post a link to their BrokerCheck information on their websites and social media sites is no....More
Apr 23, 2013

State Taxes & Fiduciary Duty Top List of Rep. Regulatory Concerns

Raymond James’ regulatory guru Chet Helck told attendees of the firm’s national professional development conference that new state proposals to tax....More
Apr 18, 2013

Accredited Investor Definition Not Up To Par, Says Walter

Acting SEC chairman said the agency's funding was not adequate to protect investors with more money than financial smarts....More
Apr 17, 2013

The Blotter Report: 15 Minutes of Fame

  It seems everyone’s a celebrity when they’re in trouble with the law—and advisors are no exception. Crime never seems....More
Apr 16, 2013

FINRA Hits Merrill With $1M for Programming Error

FINRA slapped Bank of America's broker-dealer with a $1.05 million fine on Tuesday, saying Merrill Lynch had failed in its responsibility toward....More
Apr 11, 2013

The Blotter Report: Taking to the Courts

Several advisors were taken to task this week as individuals asked the courts to mete out justice for financial crimes....More
Apr 04, 2013

Regulators Notch Up Another Win Against Insider Trading

  Prosecutors took a major step forward in wrapping up a seemingly open-and-shut insider trading case against two former Euro Pacific....More
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
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Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun.

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