Compliance
Sub- And Master Accounts Top SEC List Of Potentially Abusive Market Structures
- Details Category: Books & Records
The practice of rolling assets from multiple clients or other traders into a single custody account has the SEC nervous enough to launch an entire new series of official warnings.
South Dakota Ponzi Scheme That Touched Edward Jones Is Now On The Radar Of FBI Agents, Securities Lawyers
- Details Category: Regulatory
Another bad broker in the Edward Jones barrel raises serious questions about the firm's legendary small office culture for federal agents and securities lawyers alike.
Ex-NBA Guard Charged With Preying On Other Pro Athletes In $2 Million Ponzi Scheme
- Details Category: Regulatory
A spectacular college basketball player turned New Jersey Nets pro is now being accused of selling fake real estate securities to other members of the sports world.
FINRA Litigators Got Tougher After The Credit Crash, But The SEC Loses More Cases
- Details Category: Regulatory
Lawmakers are complaining about how the SEC has a weaker enforcement track record than FINRA. New numbers will only give them more ammunition.
Former SEC Lawyer Tells Congress Madoff Conflict-Of-Interest Charges Against Him Are Overblown
- Details Category: Regulatory
David Becker claims he did everything by the book. Mary Schapiro herself defends him. What really happened at the SEC?
More Articles ...
- Mary Schapiro Takes New Findings On Former Top Lawyer's Madoff Conflict Of Interest "Very Seriously"
- SEC Punishes RIA Firm That Allegedly Faked Its ADV To Look More Impressive
- CFP Board Derides Arguments That Fiduciary Standard Narrows Investor Choice
- States Balking At Losing Control Of Smaller RIAs, But Rep. Bachus Is Already Thinking About That
