Compliance/Fraud Articles

Total: 1352 1 2 3 4 5 6 7 8  Next >> [136]

SEC Exec: Rollovers Among Top 2015 FA Exam Priorities

by

A top priority next year for SEC examiners of RIA firms will be what kind of recommendations baby-boomer clients get when they roll over retirement plans into IRAs, says an agency official.

+ Read more

Financial Planning Profession Needs More Regulation, Group Says.

by

The Financial Planning Coalition says there are insufficient regulations for financial planners and members of the public are the ones being hurt because of it.

+ Read more

UBS Tells Brokers To Keep Selling Risky Puerto Rico Funds

by

UBS is sticking with its recommendations that some clients buy risky Puerto Rico closed-end bond funds, despite hundreds of arbitration claims by investors, says an internal document.

+ Read more

Former Advisor Pays For Vacations With Clients' Money

by FA Staff

A former Ameriprise financial advisor and securities agent pleaded guilty to defrauding her clients out of nearly $1 million.

+ Read more

Restrictions Sought On Guardians Of Elderly

by

Calls for tighter controls on elder guardians pervaded the seminars and hallways of the American Bar Association’s National Aging and Law Conference.

+ Read more

Reverse Mortgage Schemes Targeting Elderly

by

Elder abuse in the reverse mortgages is high on the Consumer Financial Protection Bureau’s radar screen, according to senior legal advocates.

+ Read more

Do Wall Street Arbitrators Go Easy On Discovery Violations?

by

A former UBS AG branch manager's pay discrimination case in Puerto Rico highlights behavior some lawyers say can give brokerages an edge in arbitration: breaking discovery rules.

+ Read more

Simple Steps To Stop Identity Theft

by FA Staff

The CFP Board is suggesting a few simple steps your clients can take to avoid identity theft.

+ Read more

Elder Financial Abuse Expected To Increase, Says Allianz

by FA Staff

Elder financial abuse is an under-reported and misunderstood issue that is likely to get worse as America’s population ages.

+ Read more

N.Y. Prosecutor Says Advisor Fraud Under Scrutiny

by

U.S. Attorney for the Southern District of New York Preet Bharara said Tuesday there are investment advisor frauds still being looked at.

+ Read more

1 2 3 4 5 6 7 8  Next >> [136]

Financial Advisor Blogs

Portfolio Manager Insights

Expert Views

MORE VIEWS