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The Motley Fool
January 6, 2010
Toby Shute |
How to Avoid Green Investment Scams Or any stock scam, for that matter.   |
Investment Advisor
June 2008 |
News & Products, June 2008 A $5 million fine imposed against American Fund Distributors for directed brokerage in 2006 stands... FINRA warns about event-linked securities, such as catastrophe, or "cat" bonds... FINRA launches two online resources about early retirement scams... etc. |
On Wall Street
December 1, 2011
Michelle Lodge |
Five Questions With Laura Carstensen What do advisors need to say to their clients, especially their older clients, about fraud? |
Registered Rep.
March 1, 2013
Megan Leonhardt |
Blotter: March 2013 Mark Kolta sued Chase Investment Services, his former employer... A former employee of deceased Friendswood investment advisor Joel David Salinas ran a concurrent Ponzi scheme... |
Registered Rep.
April 1, 2006
John Churchill |
Blotter Regulators Collar Bear... Pattern of Abuse... Junk Fax Scalping... Judge Freezes Ponzi Scheme... |
On Wall Street
September 1, 2010
Alan J. Foxman |
Ponzi Schemes And Problems Paying Fines Q&A: What does it mean for advisors that records are now available to the general public online?... How will arbitration payments I must make but cannot afford right now affect my license?... more... |
Fast Company
January 2003
Linda Tischler |
Master of Deception Police veteran Dennis Marlock has written the book on scams, cons, and frauds, which makes him an expert witness to what's gone wrong in the executive suites of corporate America. Does everyone lie? Aren't we too smart to get conned? Some honest talk about dishonest business. |
The Motley Fool
July 21, 2009
Chuck Saletta |
Is Social Security a Giant Ponzi Scheme? There certainly are a lot of parallels. |
Financial Advisor
May 2012 |
The Growing Threat Of Financial Fraud According to the Federal Trade Commission, Americans last year submitted more than 1.5 million complaints about financial fraud and other types of scams -- a 62% jump from three years ago. |
IndustryWeek
July 1, 2007
Traci Purdum |
Avoid Paper Pirates Businesses lose millions of dollars annually to con artists through a host of different tricks and scams, according to the Better Business Bureau. |
On Wall Street
February 1, 2013
Alan J. Foxman |
Proposed FINRA Procedures May Let Brokers Expunge Records Advisors may be able to erase mark against them from disputes in which they were not directly named. |
Financial Planning
November 1, 2011
Kentouris et al. |
Hot Topics Hedge fund advisors now must file with FINRA.. Blackrock launches three alternative funds... Mystery novels, social security and financial planning, all at the library... |
The Motley Fool
September 11, 2007
S.J. Caplan |
No Free Lunch Regulators are still clamping down on "free lunch" scams targeted at seniors. A recent investigation has revealed these sessions to be high-pressure sales pitches of misleading claims and unsuitable financial products, and even fraud. |
The Motley Fool
January 27, 2009
Alex Dumortier |
Ponzi Schemes Explode Why are all these Ponzi schemes and frauds coming to light simultaneously? A flight to cash. |
Finance & Development
March 2010
Monroe et al. |
Perils of Ponzis Regulators need to stop Ponzi schemes before they gain momentum, especially in developing countries. |
On Wall Street
October 1, 2010
Chris Kentouris |
Finra Wants More Details When Someone Gets Canned Advisors, take note: FINRA wants broker-dealers to provide more detail on the reasons for dismissing an employee in reports to the regulator. |
Financial Advisor
June 2012
Jim McConville |
Advisor Groups Renew Challenge To Finra's SRO Cost Estimates A coalition of financial advisor industry groups last month resumed its assault on the Financial Industry Regulatory Authority's cost estimates for creating a self-regulatory organization to review investment advisors. |
Financial Planning
April 1, 2012
Reed et al. |
Hot Topics Most nonindependent advisors see greater shift to RIA model... Investing in TICs? Proceed with caution ... Advisory fees inch up, at least on the high end... |
Investment Advisor
February 2009
Bob Clark |
The Perfect Ponzi While the Madoff debacle has been a disaster for thousands of investors, the timing couldn't be better for independent advisors. |
Financial Planning
February 1, 2008
Marianne Czernin |
Compliance In effect now are stricter requirements to protect investors age 65 and over. Advisors, read on to see which areas you need to be vigilant in. |
Registered Rep.
April 2, 2013
Megan Leonhardt |
Blotter: April 2013 Blame it on the tsunami?... Behind bars for living large on client assets... Advisor stealing from the elderly... |
Registered Rep.
September 25, 2007
Karen Donovan |
Expunging Customer Complaints Is Too Easy . . . So Say Client Lawyers The lobbying group of lawyers who represent customers in disputes with their brokers is calling on FINRA and the SEC to "immediately halt" the practice that allows arbitration panels to expunge customer complaints from a rep's record. |
Investment Advisor
May 1, 2011
Kathleen McBride |
UBS to Pay FINRA Fine and Restitution to Investors in Lehman PPNs Bank BD to pay over $10 million in fines for omissions and misleading investors |
On Wall Street
December 1, 2010
Alan J. Foxman |
When FINRA Intervenes Even non-member firms (such as registered investment advisors) can voluntarily agree to use either FINRA's arbitration or mediation services. |
On Wall Street
June 1, 2010
Alan J. Foxman |
Holding the Check: Problem or No? Holding onto a client's check for more than a week... Lowering total commission limits... FINRA arbitration... What to do with proprietary mutual funds if you switch companies... |
Registered Rep.
October 2, 2009
Bill Singer |
FINRA's Dubious Report (Madoff, Stanford, et al.) Well, I can pretty much encapsulate my reaction to this report into a few choice words. Self-serving garbage. Nonsense. Disgraceful. |
The Motley Fool
January 25, 2007
Seth Jayson |
Quick Take: The Virtual Future or Ponzi 2.0? Is the incredibly popular online universe really just a Ponzi scheme? How much would you be willing to pay for an island in a world where creating more real estate is as easy as clicking a mouse? |
Registered Rep.
May 13, 2011
Bill Singer |
Blaming, Naming, and FINRA Gaming Suppose that an unhappy investor didn't specifically name you in a lawsuit or arbitration when he complained about your investing advice. You'd think that would get you off the regulatory disclosure hook, right? Think again. |
Investment Advisor
March 2009
James J. Green |
Broker/Dealer Briefing: A Shot Over the Bow FINRA is quietly conducting a sweep of broker/dealers that could be the first steps to having the SRO take over regulation of registered investment advisors from the SEC -- something the former NASD has long desired. |
Registered Rep.
April 1, 2008 |
Blotter The SEC has filed civil fraud charges against Linda Woolf and David Gengler, promoters of "Teach Me to Trade" classes... FINRA suspended and fined 16 current and former State Farm reps for misconduct related to FINRA's continuing education requirements... |
Financial Planning
December 1, 2010
Donna Mitchell |
Turning on the Charm Next month the SEC reports to Congress on its recommendations for enhancing examinations for investment advisors. FINRA, meanwhile, is trying to persuade movers and shakers on the Hill that it already has the answers. |
The Motley Fool
September 12, 2011
Morgan Housel |
Social Security, Ponzi Schemes, and a Little Optimism Rick Perry states the obvious and concludes the erroneous regarding Social Security. |
Investment Advisor
August 2010
Marlene Y. Satter |
The FINRA Blotter FINRA news: The law firm of Sutherland Asbill & Brennan completed in early July its annual review of disciplinary actions brought by FINRA. |
Investment Advisor
April 1, 2011
Ron Rhoades |
An Alternative to FINRA Oversight "I expect FINRA and its allies to continue to push to extend its jurisdiction to some or all investment advisors," says Investment Adviser Association Executive Director David Tittsworth. |
CFO
September 1, 2008 |
Deception Perception Corporate fraudsters may be hard to detect, but they're most likely to be found on the accounting staff. |
On Wall Street
March 1, 2013
Kenneth Corbin |
FINRA Cracks Down on Suitability Broker-dealers and advisors recommending complex, high-yield products to see more scrutiny. |
Registered Rep.
January 27, 2012
Kristen French |
Due Diligence: FINRA's Merrill Fine is a Tap on the Wrist This week, FINRA fined Merrill Lynch $1 million for making it hard for former brokers of the firm to fight back in bonus disputes. |
Financial Advisor
October 2012
Brian Hamburger |
Sleight Of Hand The apparent death knell of Finra as an SRO by no means signals victory. |
The Motley Fool
October 21, 2009
Dayana Yochim |
Protect Yourself From the Next Investment Scam How not to get robbed by a smooth-talking huckster. |
Financial Planning
July 1, 2011
Donna Mitchell |
Tweet Away It's been a struggle to get advisors to embrace social media because they don't fully recognize its business value. |
On Wall Street
November 1, 2010
Patrick Temple-West |
Playing The Pay Game Four former FINRA officials, who left the agency in 2008, each received between $2.74 million and $4.43 million in reportable compensation and benefits that year, according to the latest form that the nonprofit self-regulator filed with the IRS. |
