More in Legal

  • Sep 4, 2014
    blog

    The SEC Needs to Fix the Problem It Created

    Investors are being deceived about the nature of the advice they're getting, and it's a problem the SEC has created, says investor advocate Barbara Roper....More
  • Aug 18, 2014
    blog

    The Blotter Report: Dirty Rotten Liars

    A self-titled financial coach is in trouble over some shady financial advice while a Missouri who took off over his con starting unraveling takes a plea deal....More
  • Jul 31, 2014
    blog

    Blotter Report: The Deathdealer

    A Los Angeles broker will pay for his role in bringing a whole new meaning to the phrase “death benefits.”...More
  • Jul 9, 2014
    blog

    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
    Commentary

    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

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