Compliance/Fraud Articles

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Borzi: 401(k) Brokerage Windows May Need Regulation

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An assistant DOL secretary says regulations or guidance may be needed to protect participants in 401(k) plans that allow investing in virtually all a brokerage has to offer.

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PwC Expert Identifies Sectors Most Vulnerable To Cyber Attacks

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Retail, heath-care and financial services company stocks are the most vulnerable to losses because of cybersecurity problems, said a principal at PricewaterhouseCoopers.

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SEC Investor Advocate Calls For Municipal Bond Market Reforms

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SEC Investor Advocate Rick Fleming is calling for municipal bond market reforms.

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Triad Advisors Introduces New Platform

by FA Staff

Triad Advisors has a new platform to assist fee- and commission-based independent financial advisors with regulatory and compliance issues.

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Accounting Oversight Board Says Broker-Dealer Audit Lapses Widespread

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The Public Company Accounting Oversight Board says lapses in B-D audits continue to be widespread four years after it was given the responsibility of reviewing the reports by the Dodd-Frank Act.

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Fracking Eco Worries Breed Fraudsters

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The SEC praised Finra for helping bring charges against a Texan for an alleged pump-and-dump scheme that played on hopes for an environmentally friendlier way to extract oil than fracking.

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Ebola Breeding Investor Scams

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The Ebola and Middle East Respiratory Syndrome (MERS) contagions are giving birth to investor scams, the Finra warned.

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Lawsuit Alleges JPMorgan Mismanaged Church Trust, Boosted Fees

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The Christ Church Cathedral of Indianapolis alleged that the trust accounts lost about $13 million in value between 2004 and 2013.

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Boston Advisor Tricked Clients Into Joining New Firm, Jury Decides

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A took a federal jury two hours to decide advisor Benjamin Lee Grant tricked his former customers at Wedbush Morgan Securities to transfer their assets to his new firm.

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MSRB Seeks To Shed Light On Muni Fees, Dark Pools

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Regulations have been proposed that would shed more light on the compensation dealers derive from municipal bond sales and dark-pool transactions.

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