More in Legal

  • Jul 9, 2014

    The Blotter Report: Where Did it All Go Wrong? 1

    The evidence keeps piling up against a Long Island financial planner accused of stealing $1.6 million from charities and clients. Meanwhile FINRA banned a Los Angeles analyst for lying to investigators looking into an insider trading scheme....More
  • Jun 26, 2014

    Arbitrator Rule Should Be Based on Data, Not Perception

    Don Runkle, former head of compliance for Raymond James and current director of consulting services at Edgerton & Weaver, speaks out against FINRA's changes to the arbitrator definitions....More
  • Jun 23, 2014

    FPA Pushes For Senate User-Fee Bill

    The Financial Planning Association is seeking to resurrect the concept of allowing the Securities Exchange Commission to collect fees to fund advisor exams....More
  • Jun 17, 2014

    The Blotter Report: When the Jig is Up

    A New York investment advisor's luck runs out when the SEC claims the firm is raiding client funds to pay for vacation homes and luxury items. Meanwhile a judge sends an Ohio advisor to jail for 18 months for attempting to scam the NBA player's union....More
  • Jun 12, 2014

    FSI Skeptical About FINRA BrokerCheck Rule Feasibility

    Will FINRA’s proposed rule requiring firms to link to BrokerCheck records increase investor awareness? The Financial Services Institute remains unconvinced, contending the regulator needs to perform a cost-benefit analysis and weigh alternative options....More
  • Jun 4, 2014

    Compliance is the Seat of Power & Responsibility

    Compliance officers take note: with great power comes great responsibility....More
  • May 29, 2014

    Alleged Chicago Con Man Busted

    The owner of two Chicago-based investment advisory firms is facing civil and criminal charges on Wednesday after authorities allege he operated a long-running, $11 million Ponzi scheme....More

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