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On Wall Street
November 1, 2010
Alan J. Foxman |
Crime Versus Punishment Members of the financial services industry write in for advice and have their legal questions answered.   |
Registered Rep.
May 1, 2004
David A. Feldman |
What the Martha and Peter Case Means to You The recent convictions of Stewart and Bacanovic have important implications for all financial advisors. |
InternetNews
September 22, 2004
Jim Wagner |
Former CA CEO Indicted Sanjay Kumar is charged with securities fraud, conspiracy and obstruction offenses, while his former company Computer Associates strikes a deal to avoid court. |
Registered Rep.
December 1, 2005
Bill Singer |
Nowhere to Hide As financial professionals, it is hoped you will not run afoul of the law, but if you do, it's a frightening and complex system. This explains why regulators often distinguish between "willfully" making a misstatement and doing so out of ignorance or a good-faith misunderstanding. |
On Wall Street
October 1, 2012
Alan J. Foxman |
Brokering the Commission Split Our legal analyst explores commission sharing and FINRA disclosure rules. |
Reason
April 2004
Anderson & Jackson |
Washington's Biggest Crime Problem The federal government's ever-expanding criminal code is an affront to justice and the Constitution. |
On Wall Street
October 1, 2011
Alan J. Foxman |
Preparing for Backup Advisor Q&As: Solo practitioners backup each other?... Upcoming requirements mean mid-size advisors must register with states?... Disclosing old misdemeanors?... more... |
The Motley Fool
June 5, 2007
Rich Duprey |
SEC Backs Scheme Liability In an effort to deflect the criticism that it's too pro-business, the SEC has decided to back a theory that may ultimately prove to be a particularly shareholder-hostile action. |
Registered Rep.
June 1, 2005
Bill Singer |
Fess Up: The Firm Will Find Out Anyway Some applicants tend to find out the hard way that the securities industry is extra keen on keeping it clean when it comes to new hires. Here is a sampling of recent New York Stock Exchange cases that demonstrate this point. |
Registered Rep.
December 1, 2004 |
The Promise Keepers Is arbitration the answer to this broker's woe?... Should a former employer pay defense costs for broker being sued while employed with that firm?... |
Registered Rep.
April 1, 2008
Bill Singer |
One Too Many For The Road Drinking and driving is a very bad idea for a lot of reasons. And for advisors, here's one more: It could make it impossible for you to work for a broker/dealer for a long time. |
Registered Rep.
March 1, 2008 |
Client Complaints: To Report Or Not To Report When a registered rep should report client complaints. |
Investment Advisor
January 1, 2011
Thomas D. Giachetti |
Keeping Political Contributions Compliant A new rule on political contributions by investment advisors may make donations dangerous. |
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. |
CFO
February 1, 2005
Ronald Fink |
Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital. |
Linux Journal
July 1, 2002
Lawrence Rosen |
Geek Law: License Defamation How the GPL has been sorely defamed by Microsoft, with statements that are false and are obviously intended to deter companies from associating with GPL-licensed software -- specifically Linux. |
On Wall Street
January 1, 2012
Alan J. Foxman |
The Disclosure Dilemma When and what needs to be disclosed on the U4? |
InternetNews
October 9, 2006
Roy Mark |
Feds Indict Two For Internet Scam Bogus online auctions for Hurricane Katrina victims leads to charges of wire and identity fraud. |
Registered Rep.
October 1, 2004
Bill Singer |
To Quit or Not To Quit, That Is the Question on Item 14J Among the things many reps fail to consider when they decide to leave a job is the impact of termination upon deferred-compensation agreements, on employee forgivable loans and on noncompete and nonsolicitation provisions. |
The Motley Fool
December 9, 2004
Dayana Yochim |
Save Like It's 2004 Twelve thousand dollars is so last year. If that's all you've contributed to your 401(k), 403(b), or 457 account, you might want to check your calendar. |
InternetNews
August 25, 2004
Jim Wagner |
Microsoft Tweaks Sender ID License For Open Source Microsoft works to make its anti-spam proposal more palatable for the open source community, but much remains unclear. |
U.S. Banker
September 2004
Karen Krebsbach |
Security: The Inside Job Your employees wouldn't rip you off, right? Think again. Their theft will cost banks $2.4 billion this year. |
Financial Planning
October 1, 2011
Jennifer Woods Burke |
The Risk of Hide and Seek Advisors are often guiding clients through financial nightmares rather than living their own. But a FINRA enforcement action this year demonstrates how easily your career can slip away if you don't properly disclose financial troubles. |
AFP eWire
September 8, 2009 |
Ten Tips for Taxpayers Making Charitable Donations Here are the top ten things the IRS wants every taxpayer to know before deducting charitable donations. |
Registered Rep.
May 1, 2008
Bill Singer |
The Smaller They Are, The Harder They Fall For all the day's talk about overhauling Wall Street regulation, committing to one simple step would go a long way: a guarantee of equal justice for all. |
