Compliance/Fraud Articles

Total: 1279 1 2 3 4 5 6 7 8  Next >> [128]

Finra Files Churning Charges Against Five Brokers Associated With Newport Coast

by

The regulator alleges that the brokers churned the accounts of 24 customers, using margin and risky securities to generate huge commissions.

+ Read more

Elderly Advisor Convicted On Fraud Tied To Microcaps, NY Horse Firm

by

An advisor in his 70s was found guilty of funneling client money to a horse racing firm and small, thinly traded companies in exchange for secret kickbacks.

+ Read more

Sopranos Star’s Ex-Husband Pleads Not Guilty in Stock Fraud

by

An investment firm chief who is the ex-husband of Jamie-Lynn Sigler pleaded not guilty to federal charges that he ran a scheme to manipulate stocks.

+ Read more

SEC To Brokers: You Can't Pay Off Clients To 'Buy' A Clean Record

by

The SEC today approved a Finra proposal that would prohibit brokers from paying off customers in exchange for an uncontested expungement hearing.

+ Read more

Money Funds Get New Restrictions Aimed At Preventing Runs

by

U.S. investors are used to treating money-market mutual funds as the equivalent of a checking account, but that is about to change for the riskiest of the funds.

+ Read more

AIG To Use AXIS Platform

by FA Staff

Castle Rock's AXIS program will be used by the AIG Advisor Group to comply with retirement plan regulations, AIG says.

+ Read more

Investors Need To Fear Fraudsters More

by

Advisors should warn clients about the dangers lurking in cyberspace, a PricewaterhouseCoopers executiive says.

+ Read more

Raymond James Alleges Advisor Stole $1.5M From Dementia Sufferer

by

Raymond James Financial Services is pursuing more than $800,000 from a former financial advisor the firm claims swindled a 96-year-old client suffering from dementia.

+ Read more

Finance Prof. To Head SEC Rules Cost Analysis Unit

by FA Staff

A University of Florida finance professor has been named director of the SEC unit in charge of evaluating the costs and benefits of proposed rules.

+ Read more

1 2 3 4 5 6 7 8  Next >> [128]

Financial Advisor Blogs

Portfolio Manager Insights

Expert Views

MORE VIEWS