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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.
The Motley Fool March 10, 2006 Dayana Yochim	Six Signs It's a Scam How can you tell if an investment pitch is a scam? Here are six telltale signs: 1. The promise of low risk and high gain... 2. Warnings that it will be "too late" if you don't act now.... etc.
The Motley Fool December 6, 2006	6 Signs It's a Scam How can you tell if an investment pitch is a scam? Here are six telltale signs.
The Motley Fool September 13, 2005 Dayana Yochim	Six Signs It's a Scam Instant riches? Insider tips? Don't fall for fake investment pitches designed to part you and your cash.
The Motley Fool March 25, 2004 Dayana Yochim	Your First Investment Nervous? No need. How to spot scams and find honest investing ideas.
The Motley Fool January 2, 2004 Dayana Yochim	Don't Plunge Into Stocks Six telltale signs that an investment is a scam.
The Motley Fool May 11, 2011 Selena Maranjian	Sneak a Peek at Your Broker's Record Find out whether your broker has been in trouble.
The Motley Fool December 29, 2004 Rich Duprey	Investment Advice for Deposed Despots Email scams from fake foreign officials are still a potent Internet problem. Here are some tips to help you avoid being a victim of these Nigerian 4-1-9 scams.
The Motley Fool August 11, 2005 Dayana Yochim	Back-Alley Advice for Sale More than 9 million consumers turn to credit repair agencies for help. If you do, here are seven warning signs to help you avoid the kind of heartache bad help brings.
On Wall Street January 1, 2010 Alan J. Foxman	Blamed for ARS He Didn't Sell Misrepresenting auction-rate securities... BrokerCheck public disclosure system...
The Motley Fool August 30, 2007 Selena Maranjian	A Better Way to Check Your Broker? A former SEC guy is aiming to help you steer clear of ne'er-do-wells. Meanwhile, make sure that the brokerage you're using is best for your needs. Odds are, you can find a better brokerage that charges you less or offers more services.
The Motley Fool September 17, 2004 Selena Maranjian	Brokerage Statement Bewilderment You don't have to be flummoxed by your financial statements.
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?
The Motley Fool March 3, 2010 Robert Brokamp	You Need a Financial Advisor If you can't or would rather not manage your money, then a fee-only financial advisor is your best bet.
Investment Advisor April 2008 Elizabeth D. Festa	FINRA and SEC Look to Build Bridges Seminars for chief compliance officers includes recommendations for keeping the lines of communication open between broker firms, the Financial Industry Regulatory Authority, and the Securities and Exchange Commission.
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. February 19, 2010 Christina Mucciolo	FINRA Seeks to Expand BrokerCheck, Make Some Records Permanent The Financial Industry Regulatory Authority announced it is seeking the SEC's approval to expand the amount of information made public on current and former brokers' permanent records in its free online CRD database, BrokerCheck.
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.
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.
The Motley Fool April 8, 2009 Anders Bylund	How Being Curious Could Make You a Fortune There's still hope for the market, no matter what the 10 o'clock news says.
AskMen.com Jasper Anson	How To: Identify Scams Learn to identify scams by taking a look at some of these lesser-known scams -- which are a bit trickier to recognize.
The Motley Fool June 30, 2005 Tom Taulli	IPOs Quiet No More The SEC can agree on some things, such as allowing companies to say more during an offering. So, how does this help investors?
The Motley Fool July 18, 2007 Selena Maranjian	Check Out Your Broker Finding the perfect broker to whom you would entrust your hard-earned money is difficult. "BrokerCheck," a new online tool from NASD, makes it easier to weed out the unscrupulous ones.
The Motley Fool March 21, 2007 S.J. Caplan	Check Out Your Broker A redesigned website tells you what you need to know before you invest.
Investment Advisor April 2009	B/D Briefing: News & Products The latest from the broker/dealer world.
The Motley Fool April 19, 2005 Dayana Yochim	Matchmaker, Matchmaker? Money isn't everything when finding a mate... or a financial advisor. When it comes to non-face-to-face financial products like an online brokerage account, you'll have to do a bit of soul searching.
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.
Job Journal August 19, 2012 Kristen Castillo	Tempting Offers to Work from Home They make it sound so easy, so effortless to make big bucks or change your life forever without even leaving the house or changing out of your robe & slippers. Is it true? Is it too good to be true? Here are some tips to help you see through the scams.
The Motley Fool January 6, 2010 Toby Shute	How to Avoid Green Investment Scams Or any stock scam, for that matter.
On Wall Street June 1, 2009 Lauren Barack	FINRA's Push for Greater Broker Oversight With the public's distrust of the financial community in overdrive, FINRA hopes to make disciplinary records permanently available on its BrokerCheck site.
The Motley Fool March 17, 2009 Dan Caplinger	A Surprising Way to Improve Your Investing When you're looking for a doctor or a lawyer, you focus not just on professional qualifications and expertise, but you also want someone who will fit well with your personality. The same holds true with picking a broker.
The Motley Fool May 13, 2004 Dayana Yochim	Find a Match for Your Money The right relationship is everything. How to get the right fit for your financial needs -- choosing a financial advisor and a broker.
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.
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.
The Motley Fool July 3, 2008 Dan Caplinger	Declare Independence From Your Financial Advisor For too long, brokers have profited from the willingness of their clients to be completely dependent on them for their financial well-being. But you don't have to go along with that. By declaring independence from your advisor, you can ensure that you'll be able to fend for yourself and prosper.
Entrepreneur December 2008 Carol Tice	Don't Get Scammed Borrowing money? Watch for online scams.
BusinessWeek July 2, 2008 Mara Der Hovanesian	How to Enjoy a Scam-Free Retirement What to watch out for, what to consider, and where to go for guidance to make your nest egg go the distance.
Investment Advisor May 2009	B/D News & Products News for broker/dealers: U.S. House of Representatives approved legislation that would tie pay to performance at companies that have received TARP funds... Securities and Exchange Commission charged the auditors of Bernard Madoff's broker/dealer firm with securities fraud...
Investment Advisor June 2008 Philip Palaveev	The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive.
Registered Rep. July 30, 2009 Christina Mucciolo	Financial Advisor To The Mafia? Do any of your clients have a connection to the Mafia? One lawyer specializing in securities law says he represents a financial advisor who was threatened by someone claiming to have family in the Mob.
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. June 24, 2011 Ed Mason	Acquiring a B/D? Use This Checklist. Attention early in the process to the unique regulatory concerns impacting broker/dealer M&A will increase the probability of parties successfully navigating a path to closing and, ultimately, a successful acquisition.
PC Magazine February 3, 2004 Sharon Terdeman	The Lookout: Phishing for eBay Users E-mail scams known as phishers continue to evolve.
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.
Registered Rep. January 15, 2009	Schapiro's Replies: Blame The SEC--Not FINRA--For Madoff It wasn't her job, man.
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.
Registered Rep. April 1, 2008 John Churchill	The Failure Chain Consider the curious and rather grotesque case of Gary J. Gross, a financial advisor from Boca Raton, Fla. Gross' U4 is close to 100 pages long, and lists 35 customer complaints.
The Motley Fool January 14, 2010	Don't Get Scammed on Your Tax Refund Itching to get your due from Uncle Sam? There are plenty of folks -- legit and otherwise -- who will happily promise to help you get a faster or bigger refund.
The Motley Fool November 7, 2006 Dan Caplinger	When Your Advisor Quits Facing the retirement of a trusted financial advisor can be traumatic. By remaining objective and cautious during your transition to a new advisor, you can take steps to ensure that you will continue to receive the good advice you've come to expect.
Investment Advisor June 2009 Russ Diachok	Coming to an RIA Near You One of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers.