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Registered Rep.
November 1, 2011
John Aidan Byrne |
Celebrity Client Nightmare Financial advisors Steven Kolinksy and Stephen Hill's budding sports practice came crumbling down after Mets players filed a lawsuit against the partners in 2010.   |
Financial Advisor
April 2010
Gail Liberman |
Shaky Ground Tenant-in-common 1031 exchanges, private placement deals heavily hyped to financial advisors during the real estate boom, are drawing action by state and federal regulators. |
Financial Advisor
January 2004
Jay Gould |
Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react? |
Registered Rep.
March 27, 2006
Kristen French |
SEC Targets Investment Traps Set For Seniors The move against the "free lunch," as they are generally called, is part of a larger initiative launched to protect senior citizens from investment scams and unsuitable recommendations. |
Investment Advisor
June 2008
Mark Tibergien |
Truth and Consequence Are more regulations for the financial services sector really needed, or just better enforcement of what's now on the book? |
Investment Advisor
March 2006
Melanie Waddell |
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. |
Investment Advisor
November 17, 2010
Thomas D. Giachetti |
Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors |
Financial Planning
August 1, 2008
Andrew Ackerman |
In First, Mass. Sues UBS In the first state-level lawsuit against an investment firm over auction-rate securities, Massachusetts has filed securities fraud charges against UBS for selling retail investors auction-rate paper as "liquid, safe, money-market" instruments even though the defendants knew it was not. |
Investment Advisor
February 2007
Thomas D. Giachetti |
When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management. |
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
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... |
Searcher
April 2001
Carol Ebbinghouse |
You Have Been Misinformed - Now What?: Attacking Dangerous Data If you have already been the victim of fraudulent information, omission of information, misinformation, or fraud on the Internet, it is small consolation that there were ways to have prevented damages -- even if only to your pride... |
On Wall Street
May 1, 2011
Alan J. Foxman |
New York Or Bust Readers ask about licensing requirements, one-person operations, and moving to a new firm. |
The Motley Fool
December 14, 2010
Dayana Yochim |
How to Tell Your Advisor's Real Agenda This four-step background check will reveal whether you're about to get sound advice, or advice that just sounds good. |
Investment Advisor
June 2009 |
B/D News & Products Important news for broker/dealers: The Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its BrokerCheck service... Fraud charges against several entities and individuals who operate the Reserve Primary Fund... more... |
Financial Planning
July 1, 2011
Donna Mitchell |
Hot Topics FINRA steps in... $80 million settlement of two class-action suits by Securities America... Whistleblower payday... |
Financial Planning
May 1, 2010
Paul Menchaca |
The Road Ahead Securities America's executive team seems to view its stellar growth with a mix of pride, and a small degree of hesitation. |
The Motley Fool
April 21, 2004
Bill Mann |
Attack of the Killer Attorneys It's inevitable in every investor's career that he or she will hold a company that will attract class action lawsuits alleging some form of securities fraud. |
Financial Advisor
September 2005
Bruce W. Fraser |
Through The Eyes Of Estate Planning Attorneys Attorneys and financial advisors are natural allies in the estate planning process, but if the relationship is not cultivated properly, it can deteriorate quickly. |
Registered Rep.
June 1, 2007 |
The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts? |
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. |
Registered Rep.
April 8, 2005
John Churchill |
`Merrill Rule' Debate Not Over The SEC unanimously voted to allow Series 7 holders, or registered reps, to position themselves as financial advisors -- with certain caveats. But once again the SEC seemed to hedge its bet. So the debate rages on. |
Investment Advisor
February 2009
Elizabeth D. Festa |
Industry Hit by Class Actions The subprime/liquidity crisis has led to 97 federal securities class action filings in 2008. |
Financial Planning
May 1, 2012
Jennifer Woods Burke |
Gotcha! Audits Get Tougher This year, the SEC and FINRA launched a webinar for firms detailing their expectations and reaffirming that whether a firm is large or small, regulators expect the same level of diligence when it comes to audits. |
Financial Planning
October 1, 2011
Martin Shenkman |
Star Power When your clients are celebrities or athletes, estate planning takes on new dimensions. While every client is unique, star power brings with it several unique issues that change the entire planning process, creating new risks as well as new opportunities. |
Registered Rep.
November 8, 2011
Jerry Gleeson |
Auction Rate Revenge For tens of thousands of investors who were trapped in the auction rate securities debacle that started in 2008, finances are getting back to normal. |
Financial Planning
November 1, 2009
Robert Pozen |
Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors. |
The Motley Fool
April 30, 2010
Dayana Yochim |
4 Questions Only the Best Money Pros Can Answer How to find an advisor who gives sound advice, not advice that just sounds good. |
Investment Advisor
February 2010 |
Securities Lawsuits Down The number of federal securities class action law suits filed dropped sharply in 2009. |
On Wall Street
February 1, 2011
Alan J. Foxman |
Reading The Fine Print Advisors write in for legal advice regarding contracts, client lawsuits, non-compete agreements and other concerns. |
The Motley Fool
January 16, 2008
Rich Duprey |
Lawyers Hit a Brick Wall in StoneRidge Supreme Court rules against trial attorneys' bid to sue third parties. |
Registered Rep.
June 27, 2011
Diana Britton |
The Good, the Bad and the Ugly It seems like every week, another independent broker/dealer goes under or up for sale because of a bad private placement or other problematic alternative investments. All that turmoil has left a pool of advisors out in the cold, looking for new firms to call home. |
Registered Rep.
September 3, 2008
John Churchill |
Brokers Charged In Fraudulently Selling $1bn Of ARS To Retail Clients In the first case of its kind, the SEC announced today that it has charged two individual financial advisors with fraud related to the sale of more than $1 billion in auction-rate securities. |
Investment Advisor
May 1, 2011
Janet Levaux |
Securities America Denies Charges of Departing Reps Anonymous sources insist advisors are leaving or planning to leave the firm |
BusinessWeek
May 20, 2010
Jesse Westbrook & David Scheer |
How Big a Hit Will Goldman Take? Congress and the public expect the SEC to extract a big fine |
Registered Rep.
April 16, 2010
French & Mucciolo |
Breaking News: SEC Sues Goldman Sachs For Fraud on CDOs The Securities Exchange Commission sued Goldman Sachs for fraud in connection with mortgage-backed collateralized debt obligations it packaged and sold to investors, securities that have been blamed for 2008-2009 financial collapse. |
The Motley Fool
April 20, 2009 |
5 Signs Your Financial Pro Isn't All That Shopping for a financial professional, or wondering whether the one you have is right for you? Consider the following five red flags. |
Registered Rep.
April 1, 2006
Gresham & Gresham |
The Rewards of Risk Review One thing that everyone should agree on is the need to take a good hard look at the risks a financial advisor can help clients deal with financially, from the risk of having to pay damages in a lawsuit to the risk of outliving their resources. |
Registered Rep.
May 1, 2004
Anne Field |
Et tu, 529 Plans Both the NASD and the SEC have revealed they are separately investigating yet another area within the financial services sector: 529 college savings plans. |
Investment Advisor
July 2010
Melanie Waddell |
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. |
On Wall Street
November 1, 2012 |
Five Questions with Don Blandin The president and CEO of Investor Protection Trust discusses issues facing seniors and the special problems for which advisors should watch, including protecting them against fraud. |
Registered Rep.
March 1, 2008
John Churchill |
Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated. |
Investment Advisor
June 2008
Mike Patton |
Lessons Learned As the road smooths after a year of independence, a registered independent advisor shares his insights. |
Financial Advisor
June 2007
Sherri Scordo |
Indepedent Broker-Dealers/Financial Advisor's 2007 Snapshot of Leading Firms Advantage Capital Corporation... AIG Financial Advisors... American General Securities, Inc... etc. |
Registered Rep.
August 29, 2006
Kristen French |
Pru Agrees to $600 Million Market-Timing Settlement Prudential Equity Group admitted to criminal wrongdoing in connection with the market-timing practices of a number of its brokers between 1999 and June, 2003. |
Financial Planning
October 1, 2010
Brian Hamburger |
Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive. |
Investment Advisor
November 2006
Thomas D. Giachetti |
Defining Fiduciary What is a financial advisor's true fiduciary duty? |
| Registered Rep. |
The Top 30 Independent Broker/Dealers in 2015 The list below is comprised of the 30 largest IBDs ranked by average assets under management per advisor, as of 2014. |
Financial Planning
January 1, 2013 |
Retirement Advisor Confidence Index: Worries Grow A drop in risk tolerance pulls down the latest index reading. |
The Motley Fool
May 3, 2005
Dayana Yochim |
When to Downsize Your Pro Good, affordable financial help is so hard to find these days. You should settle for nothing less. |
