Compliance/Fraud Articles

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CFP Board Has New Chair

by FA Staff

Richard P. Rojeck assumes the role of chair of the Certified Financial Planner Board of Standards' board of directors.

Top U.S. Financial Risk Watchdog Pledges More Transparency

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The top U.S. financial risk watchdog pledged to revise the procedures used to designate firms as super-risky after a flood of criticism from insurers and asset managers.

Manager Used Investors' Money As His Own Piggy Bank, SEC Says

by FA Staff

The SEC has charged a Florida financial firm and its manager with stealing $17 million.

Pair Charged With Trying To Defraud NFL Players

by FA Staff

A New York financial consultant and an NFL agent are charged with soliciting fraudulant investments in Burger King.

S&P Suspended, Fined Almost $80 Million In SEC, State Cases

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Standard & Poor’s agreed to be suspended from rating the biggest part of the commercial-mortgage bond market and pay almost $80 million to authorities over claims it bent criteria to win business.

Consumer Groups Ask Finra To Increase Arbitration Transparency

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Nine groups are asking a Finra task force to hear complaints about the regulatory agency's arbitration process.

Finra Enforcement Chief: Smaller Ponzi Schemes The Norm Post Meltdown

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Finra's enforcement director said Tuesday the biggest change he has seen since the meltdown is no major orchestrated frauds by large brokerages have cropped up.

Coalition Petitions For Pension Advisor Fiduciary Mandate

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Several of the nation’s most influential consumer and labor groups have started an online petition demanding a fiduciary obligation on financial advisors consulting with pension plans and their...

Dodd-Frank Implementation Only Half Done, SEC Official Says

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The Dodd-Frank financial reform act will continue to be worked on by the SEC for at least a decade, Securities and Exchange Commissioner Dan Gallagher said Wednesday.

Former Advisor Gets Prison For Saving The Best Stock Deals For Himself

by FA Staff

Noah Myers has been sentenced to 40 months for “cherry picking.”

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