Compliance/Fraud Articles

1 2 3 4 5 6 7 8  Next >> [141]

Consumer Federation Seeking Advisor Horror Stories From Investors

by

The Consumer Federation of America is seeking advisor horror stories from retail investors to fight industry objections to having the Department of Labor developing a fiduciary rule.

+ Read more

Securities Fraud Nets Ohio Man Prison Sentence

by FA Staff

An Ohio man who operated a hedge fund is sentenced for bilking investors out of nearly $1.8 million.

+ Read more

Finra Fines Citigroup $15 Million

by FA Staff

Finra says Citigroup failed to supervise research analysts' communication with clients and sales staff.

+ Read more

Groups Pushing SEC To Act On Fiduciary Standard For B-Ds

by

They say the SEC has been unable or unwilling in the past 25 years to develop a policy for the delivery of personalized investment advice for retail investors.

+ Read more

Ex-Broker Must Pay $2 Million To Former NBA Player

by

A former broker that regulators said took part in a multi-million dollar fraud against professional athletes must pay $2 million to a former NBA player, an arbitration panel ruled.

+ Read more

New Jersey Broker Admits Orchestrating $20M Ponzi Scheme

by FA Staff

A $20 million Ponzi scheme netted a New Jersey broker enough money for a $400,000 donation to a private university, as well as luxury apartments and cars.

+ Read more

SEC Captured By Companies It Regulates, Say Senators

by

They called “regulatory capture” a problem that afflicts all federal agencies overseeing business.

+ Read more

Penalties For Advisors Possible For Not Deleting Misleading Tweets

by

Financial advisors could face enforcement actions for not deleting misleading social media posts, said an SEC official.

+ Read more

Maryland Investment Advisor Forfeits $1.3 Million Stolen From Annuity

by FA Staff

A Maryland investment advisor admits stealing from an elderly client.

+ Read more

Madoff Bankruptcy Costs Top $1 Billion Six Years After Fraud

by

The cost of liquidating his defunct investment advisory firm to repay thousands of victims has topped $1 billion, though the con man’s former customers aren’t footing the bill.

+ Read more

1 2 3 4 5 6 7 8  Next >> [141]

Financial Advisor Blogs

Portfolio Manager Insights

Expert Views

MORE VIEWS