Mar 19, 2013 4:13pm

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

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May 21, 2013

FINRA Won't Drop BrokerCheck Link Rule

Advisors who hate the idea of linking to BrokerCheck on their websites are not out of the woods. Despite pulling its proposal last month, FINRA staff....More
May 15, 2013

The Blotter Report: Paying the Consequences

Several financial advisors found out this week that there can be a steep price to pay for their actions, including advisors from NFP, NEXT financial....More
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
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Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun.

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