Compliance/Fraud Articles

Total: 1321 1 2 3 4 5 6 7 8  Next >> [133]

Wall Street Regulator Unveils Proposals For Dark Pools, Bond Markets

by

Finra unveiled a list of proposals today to bolster rules governing alternative trading platforms like "dark pools," computerized high-speed trading and price transparency in the corporate bond...

+ Read more

Former Texas Advisor Gets 30 Years In Prison For Ponzi Scheme

by

A former financial advisor in Corpus Christi, Texas, was sentenced to 20 years for fraud and 10 years for theft in connection with a Ponzi scheme he orchestrated.

+ Read more

Congress Rejects SEC Request For More FA Examiners

by

Congress officially killed the SEC’s request for 250 more financial advisor examiners Thursday night.

+ Read more

Wall St. Watchdog Signals Shift In Bonus Disclosure Plan

by

A controversial Finra plan requiring brokers to disclose signing bonuses is making a comeback, but it may be weaker.

+ Read more

Tower Speed-Trading Unit Fined $16 Million Over Capital Rule

by

A Tower Research Capital unit agreed to pay the record penalty to settle regulatory claims that it didn’t hold enough capital to support its high-frequency trading.

+ Read more

Morgan Stanley Fined For Violations Tied To Ponzi Scheme

by

Morgan Stanley was fined $280,000 for ignoring “numerous red flags” in opening an account tied to a multimillion-dollar Ponzi scheme, a U.S. regulator said.

+ Read more

Advisor's 'Sophisticated' Annuity Fraud Yields Five-Year Prison Term

by FA Staff

A Washington State financial advisor was sentenced for crimes that included stealing the annuity money of his clients to pay for a Las Vegas trip and a luxury car.

+ Read more

Why Advisors Disagree About Hawking Their Performance

by Robyn Post/Reuters

Some financial advisors do not mind sharing the returns they have pulled in for clients. Those numbers, nonetheless, may come with a caveat.

+ Read more

FSI, Sifma, Regulators Form Broker-Fee Task Force

by

Two industry groups plus two regulatory organizations plan to develop a simple model for brokers to disclose their fees and make it easier for investors to compare them.

+ Read more

Congress Set To Deny SEC-Sought FA Examiner Increase

by

Congress is set to deny a request for the second straight year from the Securities and Exchange Commission for an increase of 250 investment advisor examiners.

+ Read more

1 2 3 4 5 6 7 8  Next >> [133]

Financial Advisor Blogs

Portfolio Manager Insights

Expert Views

MORE VIEWS