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Financial Planning
February 1, 2008
Stacy Schultz |
On the Job People: Chris Romney has been promoted to president of Brecek and Young... David Liebrock has been hired by Captrust Financial Advisors... Claymore Securities and Claymore Advisors in Lisle, Ill., has hired Thomas Futrell... etc.   |
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... |
Registered Rep.
October 8, 2008 |
Bank of America Reaches Second Settlement To Buy Back ARS The agreement closely mirrors the firm's earlier settlement with the Massachusetts Securities Division that was announced in September, 2008. |
Investment Advisor
February 2009
Kara P. Stapleton |
Group Think The Certified Financial Planner Board of Standards releases proposed revisions to its Disciplinary Rules and Procedures... Financial Services Institute's Board elects Eric Schwartz chair... FPA Board of Directors approved creation of Diversity Scholarship Program for FPA conferences... |
Registered Rep.
January 2, 2013
Diana Britton |
Comings & Goings: January 2013 Independent broker/dealer LPL Financial has tapped Victor Fetter as its new chief information officer... The Financial Services Institute has elected three new directors to its board for 2013... Three officials from the Securities and Exchange Commission announced plans to leave... |
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. |
Investment Advisor
February 2008
Kathleen M. McBride |
Litigation A-Go-Go Lawsuits, investigations, and probes. |
Investment Advisor
March 2008
James J. Green |
Coming Out Party Only fours years after its inception, the Financial Services Institute has achieved a high level of success as the primary advocacy group for independent broker/dealers. The recent FSI gathering was the broker/dealer group's biggest ever. |
Investment Advisor
July 2008 |
News & Products, July 2007 Marcia Martin was named senior vice president, operations and partner support, at Cambridge Investment Research... The Financial Industry Regulatory Authority warns investors about the potential downside of using 401(k) debit cards... FINRA appointed James Donovan as senior executive VP... |
Investment Advisor
March 2010
James J. Green |
Broker/Dealer Briefing: Independent Broker/Dealers Celebrate Earned Credibility The Financial Services Institute lays out its agenda, starting with preservation of independent contractor status. |
Investment Advisor
February 2010
Marlene Y. Satter |
Broker/Dealer Briefing: New Leader for FSI A short conversation with Mari Buechner, CCO and CEO of Coordinated Capital Securities, and the new chair of the Financial Services Institute. |
Registered Rep.
January 1, 2005 |
Blotter John Van, head of Murphy Van Securities, was barred from the industry... The NASD fined 29 firms a total of $9.2 million for late reporting... The NASD's mutual fund task force released its initial report... |
Investment Advisor
June 2007
Kara P. Stapleton |
News & Products NASD has fined two Fidelity broker/dealers for preparing and distributing misleading sales literature... The broker/dealers of ING plan to lower fees that their advisors pay on two core advisory programs... etc. |
Investment Advisor
March 2008 |
News & Products, March 2008 B/D chief compliance officers can now register for the inaugural CCOutreach BD National Seminar... Merrill Lynch & Co. agreed to pay the city of Springfield, Massachusetts $13.9 million... FINRA elects individuals to fill five regional vacancies... etc. |
Registered Rep.
November 29, 2011
Diana Britton |
FINRA Strikes Again: Eight B/Ds Busted for Sale of Private Placements The Financial Industry Regulatory Authority continues its crackdown on the sale of troubled private placements, filing sanctions against eight firms and 10 individuals Tuesday and ordering them to pay restitution to investors. |
Investment Advisor
January 1, 2011
Melanie Waddell |
FINRA Jockeys for SRO Spot as SEC Report to Congress Nears The Financial Industry Regulatory Authority is engaged in a full-court press to convince the SEC that it should be the SRO for advisors. |
Registered Rep.
June 3, 2009
David Geracioti |
ARS Games -- SEC Blames Firms, Settles with BAC, RBC and DEUTSCHE When the auction rate securities market froze up in February 2008, angry clients blamed their financial advisors. |
Investment Advisor
March 2009
James J. Green |
The FSI's Priorities Now While the members of the Financial Services Institute compete fiercely with each other in many areas -- within FSI they have subsumed their differences in favor of promoting the common agenda of broker/dealers. |
Investment Advisor
June 2008
Kathleen M. McBride |
Independents' Optimism Broker/dealer advisory board members say things are looking up in the industry. |
Investment Advisor
July 2006 |
B/d Briefing: News & Products The Securities and Exchange Commission announced on May 31 the institution of proceedings against 15 broker/dealer firms... In the past year nearly 200 advisors have been added to the H&R Block Financial Advisors team... etc. |
Registered Rep.
September 10, 2008 |
Bank of America to Buy Its ARs Back The nation's second-largest bank by assets settled an investigation by Massachusetts regulators, agreeing to buy back $4.5 billion worth of the securities. |
Registered Rep.
April 15, 2008 |
Bear's Q1 Earnings Bad, But Retail Did Well Bear Stearns can't seem to go down quietly. |
Investment Advisor
August 2007
Kara P. Stapleton |
News and Products NASD Chairman Mary Schapiro announced July 12 that the new self-regulatory organization... Raymond James advisors Judith McGee, Sheryl Stephens, and Margaret Starner were listed... etc. |
Investment Advisor
July 2010
Melanie Waddell |
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. |
Investment Advisor
May 2008
McBride & Waddell |
Seismic Shift The Treasury Secretary floats a regulatory plan that -- if implemented -- will change the financial services world as we know it. |
Investment Advisor
April 2008 |
News & Products, April 2008 FINRA has settled cases against five firms... Fidelity Investments has agreed to pay an $8 million penalty... FINRA fined and suspended 16 registered reps of State Farm VP Management Corp. of Bloomington, Illinois... etc. |
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. |
Registered Rep.
June 19, 2012
Diana Britton |
Whose Suitability Standards? In early 2011, the SEC completed a study, mandated under Dodd-Frank reform legislation, which recommended extending to brokers who advise retail clients the same fiduciary standard that now applies to investment advisors. |
Wall Street & Technology
January 9, 2006 |
Keeping Tabs James Gorman was elected chairman of the Securities Industry Association for 2006... Cantor Fitzgerald hired Scott Gruber to oversee fixed-income sales... Instinet added Audrey Barsa as VP in the Execution Consultants Sales Group... |
Investment Advisor
March 2009
Melanie Waddell |
When It Pays to Fight City Hall An annual analysis of litigated disciplinary proceedings brought by the SEC and FINRA against broker/dealers and registered representatives shows that it sometimes pays for B/Ds and reps to litigate against the regulators. |
Financial Planning
June 1, 2009
Paul Menchaca |
Oh, the Drama The broker-dealers who spoke to Financial Planning in this year's annual survey are busy negotiating the downturn by improving their infrastructure, expanding through recruitment and eyeing an economic rebound. |
Investment Advisor
June 2008
Melanie Waddell |
A Long, Hot Regulatory Summer Rules from the SEC on credit ratings agencies, 12b-1, soft dollars, and hedge funds |
Financial Planning
August 1, 2008
Bob Veres |
The Big Regulatory Fix If the same few companies are behind virtually every major financial scandal and meltdown, why are the regulators talking about tightening up on all financial advisors? |
The Motley Fool
May 20, 2004
Tim Beyers |
American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest? |
Investment Advisor
December 21, 2010
James J. Green |
FSI Endorses FINRA as SRO for Investment Advisors Dale Brown says FINRA option is "best way to address the regulatory gap." |
Registered Rep.
April 2, 2014
David Armstrong |
Editor's Letter: April 2014 Larry Doyle's recent book, In Bed With Wall Street: The Conspiracy Crippling Our Global Economy, elevates and sharpens the case against Wall Street's model of self-regulation. |
Investment Advisor
September 2009 |
Broker/Dealer News Actions by the SEC and FINRA |
Investment Advisor
December 2007 |
News & Products, December 2007 FINRA fined Oppenheimer Co., Inc. $1 million... Compliance officers at broker/dealer firms will have a chance to discuss new and changing regulations... Christine Nigro has been promoted to president of AXA Advisors, LLC... etc. |
Investment Advisor
August 2005
Thomas D. Giachetti |
Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners. |
Registered Rep.
December 15, 2011
French & Britton |
Updated: Boston Consulting Group Report: FINRA Twice as Costly SEC for Investment Adviser Oversight According to BCG's report, which was sponsored by firms and groups who support having the SEC oversee investment advisers, setting up FINRA to oversee investment advisers would be twice as costly as giving the SEC the funding it needs. |
Investment Advisor
April 2007 |
Group Think-April 2007 The SEC cuts fees charged to public companies... The NASD Investor Education Foundation launched a grant program... etc. |
Financial Planning
September 1, 2008
Andrew Ackerman |
SEC Probes Wachovia The Securities and Exchange Commission enforcement staff has notified Wachovia Bank that they may recommend the SEC file charges against it, as a result of an investigation into alleged anti-competitive bidding practices. |
Registered Rep.
March 16, 2006
John Churchill |
Bear Stearns Fined $250 Million for Securities Fraud The SEC's investigation found that from 1999 through September 2003, the firm provided technology, advice and deceptive devices that helped market timers and late traders evade the firm's own systems as well as those of mutual funds. |
Registered Rep.
June 17, 2009
Christina Mucciolo |
The Fiduciary Battle Continues, Now Under Federal Microscope Among other measures, the Obama administration proposed today that the Securities and Exchange Commission require that broker-dealers offering investment advice be held to the fiduciary standard rather than the suitability standard. |
Registered Rep.
March 28, 2008
David A. Geracioti |
More Trouble In Auction-Rate Securities Land The State of Massachusetts Secretary of State is investigating the sales practices of auction-rate securities, to learn how these securities are presented to individual clients in the state. |
Registered Rep.
March 10, 2011
Kristen French |
SEC Says Bigger Budget Is Supported By BCG Report In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency's funding to $1.407 billion for 2012. |
On Wall Street
July 1, 2010
Alan J. Foxman |
Dueling Investigators Advisor Q&A: Why must agencies duplicate investigatory efforts?... Should I worry about reps picking up bad habits from old firms?... |
Financial Planning
March 1, 2011
Larry Light |
The Tradeoff Registered investment advisors may end up getting to know a new regulator, but the tougher fiduciary standard they live under will also be extended to cover their broker-dealer rivals. |
Investment Advisor
October 2008 |
News & Products, October 2008 The SEC announces an enforcement action against LPL Financial Corp... ING Advisors Network announced a reorganization... Ameriprise Financial has signed an agreement to acquire H&R Block Financial Advisors... etc. |
Registered Rep.
May 11, 2011
Diana Britton |
CPA Panel: Regulators Taking B/D Accounting Data More Seriously The Financial Industry Regulatory Authority and the Securities and Exchange Commission are stepping up their scrutiny of the accounting and audit process of broker/dealers. |
