Mar 19, 2013 4:13pm

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

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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
Jun 18, 2013

Not So Fast: Congressional Letter Could Put a Kink in DOL’s Proposal

Thirty-two members of Congress from minority caucuses have sent a letter to the Department of Labor, arguing that the agency's fiduciary proposal....More
Jun 17, 2013

Merrill to Settle with Client Associates for $12M

To resolve allegations it failed to pay client associates overtime, Merrill Lynch agreed to fund a $12 million settlement fund....More
Jun 14, 2013

FA Gets Jail Time for Running Pot Ring

The financial brains behind an illegal marijuana operation will be spending the next year and a half behind bars. Cue the jokes about his high....More
Jun 13, 2013

The Blotter Report: Brokers Behaving Badly

Law enforcement threw the book at several brokers this week, arresting the head of a broker-dealer for running an international bribery scheme, while....More
Jun 05, 2013

DOL to Stare Down Industry on Fiduciary

Despite the delay, firms ignore the DOL's proposed rule to redefine the fiduciary definition under ERISA at their own peril, especially as it now....More
Jun 05, 2013

Orgs to SEC: Don’t Water Down the Fiduciary Standard

A coalition of nine organizations—from consumer advocates to investment advisor representatives—write a letter to SEC Chair Mary Jo White with a....More
Jun 05, 2013

The Blotter Report: Like Taking Candy From a Baby

Who pushes their 91-year-old, dementia-impaired grandmother to invest in a Cozumel condo project? Check out this wild broker and others in this week'....More
May 30, 2013

The Blotter Report: Some Strong Responses

Morgan Stanley aggressively pursues a trio of advisors who jumped to Stifel, while FINRA banned two former advisors for their thieving tendencies....More
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Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun.

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