Compliance/Fraud Articles

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Nuns Pressure JPMorgan On Its Conduct

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JPMorgan Chase published a report saying it seeks to strengthen its corporate culture after pressure from a shareholder group led by the Sisters of Charity of Saint Elizabeth.

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Man Allegedly Used Ponzi Scheme Proceeds To Freeze Dead Wife

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A man U.S. prosecutors say bilked investors out of $5 million used some of the money to have his wife cryogenically frozen after she died, according to a court filing.

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SEC Chair Refuses House GOP Request To Shift Money To Hike FA Exams

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SEC Chairman Mary Jo White has refused a request from two influential congressmen to shift money within the agency to increase registered investment advisor exams.

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Increased RIA Exams Coming In 2015, Predicts SEC's Gallagher

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SEC Commissioner Daniel Gallagher predicted increased RIA exams are coming in 2015 as a result of $150 million in additional funding.

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American Realty’s Schorsch To Leave Behind $100 Million In Pay

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Nicholas Schorsch, American Realty Capital Properties Inc.’s former executive chairman, is walking away from a compensation package valued at about $100 million, company filings show.

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$208 Credit Card Charge Snags Big Time Crook

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A former money manager, who spent years in prison for stealing millions, gets tripped up a second time by a $208 credit card charge.

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Connecticut Man Arrested For Running Fraudulant Commodities Pool

by FA Staff

A Connecticut man took money from investors and redirected funds to himself, a U.S. Attorney says.

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Former Advisor To Pro Athletes Charged In Kickback Scheme

by FA Staff

The former advisor has already pleaded guilty to criminal charges stemming from the same fraud scheme, according to the SEC.

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SEC’s White Wants Stiffer Oversight Of Asset Managers

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SEC Chairman Mary Jo White said Thursday the Commission is laying down the foundation for stiffer oversight of risks in portfolio composition and operations of investment advisors and funds.

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New York Advisory Firm Charged With Defrauding Retirees

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The SEC charged a New York-based investment advisory firm and two co-owners with misleading clients into investing in a risky hedge fund.

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