Compliance/Fraud Articles

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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.

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Court Says Stanford's Ponzi Victims Cannot File Compensation Claims

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A U.S. appeals court ruled that victims of financier Allen Stanford's Ponzi scheme were not eligible to file claims seeking compensation.

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Seattle Advisor Used Client Assets To Buy Ski Home, SEC Says

by FA Staff

The owner of a Seattle advisory firm will pay $590,000 to settle charges by the SEC that he used client funds to pay for a ski house and vintage car.

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Senators Criticize Government Response To 'Grandparent' Scams

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Senators criticized the federal government and Western Union for what they described as their poor response to the growing problem of grandparent phone scams.

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SEC Set To Take Aim At Costly Mutual Funds, Bad Brokers

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The SEC will likely focus on sales of expensive mutual funds and have a "laser like focus" on problem brokers and firms in 2015, an agency official said.

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House Passes Budget Barring SEC From Imposing Fiduciary Duty On Broker-Dealers

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The Republican-controlled House passed a budget Wednesday that bars the SEC from imposing a fiduciary standard on broker-dealers during the federal fiscal year beginning October 1.

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SEC Chair White Attacked For Weak Investor Protection

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SEC Chairman Mary Jo White was attacked for slow and weak investor protection rulemaking by several consumer advocates in e-mails and conversations with Financial Advisor magazine.

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Florida Man Charged In Rothstein Ponzi Scheme

by FA Staff

A Florida man was charged with soliciting investors for a Ponzi scheme masterminded by Scott W. Rothstein, a U.S. Attorney said.

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Finra Amends Non-Traded REIT Pricing Proposal

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Under pressure from the SEC, Finra has amended its controversial non-traded REIT pricing proposal.

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Web Site Offers Company Climate-Change Disclosures

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Clients who weigh environmental issues into their investment choices can now inspect an online depository for corporate climate-change filings.

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