Compliance/Fraud

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Auditors Faulted For Weak Testing Of Possible B-D Fraud

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Outside auditors were faulted for inadequate testing of potential broker-dealer fraud in three of the five 2014 b-d examinations reviewed by the Public Company Accounting Oversight Board.

New Law Possible To Combat Elder Financial Abuse

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Chairs of two Senate committees say new legislation is possible to combat senior financial abuse.

Oppenheimer To Pay $20 Million For Penny Stocks Sales

by FA Staff

The SEC and U.S. Treasury Department charge Oppenheimer with failure to supervise the sales of billions of shares of penny stocks.

FSI Execs Fret Over DOL Proposal, Leaked Memo By White House Advisor

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Independent broker-dealer leaders suddenly find themselves playing defense on a key issue: the DOL’s pending fiduciary rule that would impact financial advisors who handle retirement plans and IRAs.

Waco Advisor Charged With Stealing From Estates

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A Waco, Texas, advisor and attorney is charged with fraud for using estate money for himself.

Business Groups Ask Supreme Court To Allow Plans To Invest In Retail Funds

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Business groups have asked the Supreme Court to rule that company retirement plans can continue investing in retail mutual funds.

CFP Board Has New Chair

by FA Staff

Richard P. Rojeck assumes the role of chair of the Certified Financial Planner Board of Standards' board of directors.

Top U.S. Financial Risk Watchdog Pledges More Transparency

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The top U.S. financial risk watchdog pledged to revise the procedures used to designate firms as super-risky after a flood of criticism from insurers and asset managers.

Manager Used Investors' Money As His Own Piggy Bank, SEC Says

by FA Staff

The SEC has charged a Florida financial firm and its manager with stealing $17 million.

Pair Charged With Trying To Defraud NFL Players

by FA Staff

A New York financial consultant and an NFL agent are charged with soliciting fraudulant investments in Burger King.

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