Mar 19, 2013 4:13pm

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

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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
Feb 14, 2013

Warren Comes Out Swinging At Wall Street

  If you bet that newly elected Sen. Elizabeth Warren would sit quietly in the corner for a while, guess again. Warren came out swinging....More
Feb 13, 2013

Coming Up Short: Lew Dodges Retirement Saving Woes

  If confirmed as Treasury Secretary, it looks like Jack Lew will not be helping find solutions to boost private retirement plans such as....More
Feb 08, 2013

Down But Not Out: Don't Count FINRA Out of SRO Fight

  Think the FINRA has waived the white flag? Think again. FINRA’s chairman may have backed off the agency’s concentrated push to....More
Feb 08, 2013

Up Next: Congress Tackles Lew & Charitable Deductions

As things heat up on the Hill next week, there are a few hearings financial advisors should keep an eye on. First up, the Senate Finance Committee....More
Feb 06, 2013

Advisor Gets Over 12 Years For $16M Fraud

  The SEC and federal prosecutors racked up another win on Tuesday after an Illinois federal judge threw the book at a shady financial....More
Jan 30, 2013

CTFC To Host Meeting To Review New Futures Reforms

  Although only a third of the Dodd-Frank rules have been enacted, the CFTC is moving forward with new regulations on top of that infamous....More
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Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun.

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