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Total: 45 results found.

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1. Historic Bankruptcy Results In New Disclosure Rules For Municipals
(Matching tags: municipal bonds,fraud,regulation)
New rules are being designed for trading municipal bonds as a result of the largest municipal bankruptcy in history involving Jefferson County, Alabama. The rules are designed to ensure that the same ...
Monday, May 07, 2012
  Fed chief Ben Bernanke compared initial losses from the 2008 credit crisis to the burst of the dot-com bubble in the early 2000s in a speech at a conference last month. The two crisis produced ...
Wednesday, May 02, 2012
3. Department Of Justice Forms New Task Force To Investigate 2007-2009 Fraud Cases
(Matching tags: fraud,mortgage debt,securities fraud)
A new task force has been created to investigate fraud in the mortgage crisis from 2007 - 2009. Ten new attorneys and five financial analysts and auditors have been hired by the Department of Justice ...
Monday, April 30, 2012
4. Cyber Crime Is Increasing Across Industries
(Matching tags: fraud,security)
Economic cyber crime may not be the topic of popular crime shows but it has the #2 spot on financial services firms’ radar. Misappropriation is the first concern with 78% of firms falling vict
Wednesday, March 28, 2012
5. Madoff Fooled Employees With Boastful Statements And Hubristic Retorts
(Matching tags: fraud,madoff,securities fraud)
When two computer programmer employees questioned why there was no record of stock trades, Bernard Madoff angrily told them to stop telling him how to run his business. He also said the trades were done ...
Friday, March 23, 2012
6. The SEC Is Updating Its Technology Systems To Better Detect Fraud
(Matching tags: fraud,madoff,regulation,SIFMA,sec)
... were identified since the new systems were put into place in December. The agency has been criticized for its antiquated systems and its failure to detect fraudsters, particularly Bernard Madoff. The Madoff ...
Wednesday, March 21, 2012
7. Tax Scam Alerts
(Matching tags: client education,fraud,Taxes)
It’s tax time. And many of your clients are scrambling to get forms together, fund that IRA they set up in December, or get the cost basis of grandma’s stock they sold to pay her retirement ...
Tuesday, March 20, 2012
8. Ripple Effect From Madoff-Stanford Era May Touch Advisors As Well As Clients
(Matching tags: business strategy,Advisor businesses,fraud,independent broker-dealers)
  Paying for one’s sins usually means justice has been served and the event can be put behind us. Wednesday’s picture of Allen Stanford being led away in handcuffs may have fueled such ...
Thursday, March 08, 2012
A week after being barred from the industry, a Santa Monica, California, "financial consultant" now faces charges that he killed a client who found out that he was draining hundreds of thousands ...
Tuesday, March 06, 2012
The SEC has chastised national brokerage firm 1st Discount and its former compliance supervisor for missing the warning signs of a rogue representative running a Ponzi scheme over most of the last decade. ...
Wednesday, February 01, 2012
The regulators are getting a lot of reports that criminals are hijacking investors' email accounts and using them to loot bank and brokerage assets. Tell your clients.
Friday, January 27, 2012
Investment scams often target religious communities, with Hasidic Jews and Amish congregations being taken in over the last year. The latest wave to come to the surface has bilked Mormons and Protestant ...
Wednesday, January 18, 2012
Mere days after feel-good Notre Dame hopeful "Rudy" Ruettiger settled SEC charges that he pumped his own stock, NFL legend Willie Gault is in regulatory trouble as well.
Wednesday, December 21, 2011
The kid who loved football has agreed to settle charges that he and some friends operated a pump-and-dump penny stock operation full of "tall tales" and "phony taste tests."
Monday, December 19, 2011
Disgraced hedge fund manager Chip Skowron's unbridled self-interest even cost the kings of inside trading at the Galleon Group $1.5 million. 
Monday, November 21, 2011
The SEC has gone to First Tennessee National's brokerage unit in order to collect about $1.5 million clients of failed RIA Sentinel Management are owed.
Monday, November 21, 2011
The New York Times this past weekend wrote about the irony of recent criminal allegations against Mark Spangler, former chairman of the National Association of Personal Financial Advisors who once was ...
Monday, October 24, 2011
18. Tamarac Is Tainted By Spangler Scandal, But Could It Be Hurt Financially?
(Matching tags: fraud,rebalancing,fiduciaries,advisor industry people,Portfolio Management Software)
Tamarac Inc., a high-priced portfolio rebalancing and CRM solution used by about 450 advisory firms, has been tainted by an FBI investigation into the activities of Seattle financial advisor Mark Spangler. ...
Thursday, October 20, 2011
FBI Agents raided Seattle financial advisor Mark Spangler’s home on Sept. 23, reportedly seizing documents and electronic files in a criminal fraud investigation into whether Spangler illicitly diverted ...
Friday, October 14, 2011
An interagency task force has uncovered what looks like an early-stage Ponzi scheme operating in a former FBI special agent's RIA firm.
Thursday, October 13, 2011
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