Compliance/Fraud Articles

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Brokerage Firms Say Bonus Disclosure Plan Ignores Costs

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The brokerage industry is warning that lack of a cost-benefit analysis could doom Finra’s plan to require disclosure of broker-recruitment bonuses.

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How A 56-Year-Old Engineer’s $45,000 Loss Spurred SEC Probe

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The civil engineer's loss on a Credit Suisse exchange-traded note (ETN) shows why banks are being pressured by the SEC to beef up disclosures on the products.

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Ex-BP Worker Settles SEC Insider Trading Claims On Spill

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A former official of BP Plc will pay $224,000 to settle U.S. claims that he traded securities based on inside information about the magnitude of the Deepwater Horizon oil spill, the SEC said.

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GAO Faults SEC On Cybersecurity

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Two days after the Securities and Exchange Commission said it would more closely monitor advisors for their computer security, the agency was faulted for its own lapses.

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How U.S. Agents Baited Romanian Hackers

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The Secret Service and FBI are investigating an increasing number of attacks on U.S. retailers’ data, including credit card accounts.

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Finra To Consider Broker Background Checks

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Finra said on today it will consider proposing mandatory background checks for brokers after critics pointed to gaps in disclosures by some with checkered histories.

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DOL, Iowa Advisor Agree To $554,000 Erisa Settlement For Fee Overcharges

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Iowa-based investment advisor Donald Gene DeWaay Jr. has agreed to a half-million dollar settlement with the U.S. Department of Labor over Erisa violations, DOL announced Monday.

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San Diego Firm And Its Owner Charged With Receiving Kickbacks

by FA Staff

The SEC has charged Total Wealth Management, its owner, CCO and an employee with misleading investors.

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Trillion-Dollar Firms Dominating Bond Market Prompting Probes

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The lopsided bond market has caught the attention of the SEC, which is examining whether the biggest players get preferential prices and access because of their influence.

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SEC Releases Disclosure Reform Road Map

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The Securities and Exchange Commission has revealed the roadmap it is using to reform the rules on what companies are required to disclose to investors.

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