Finding A Way.

Bad Company: Advisers Make NASAA Fraud Watch List

The North American Securities Administrators Association (NASAA) recently released its annual list of top investor threats. NASAA consists of 67 state, provincial, and territorial securities administrators in...

Recent Ruling Could Help Brokers Get a Clean Slate With FINRA

A California court showed mercy. In a recent ruling, the California Court of Appeal for the First Appellate District made it easier for brokers to remove disciplinary...

The Real Hidden Risk for Advisers: Identify Theft

Advisers should be aware of a growing identity theft scams that targets advisers to get to their clients’ money. The scams use email to trick advisers into...

Are New Rules on Adviser Designations on the Horizon?

Standards for how advisers use designations to advertise the services they offer to seniors may be on the horizon. This all evolved after the Consumer Financial Protection...

Adviser Facing Legal Trouble Over Radio Show

Advisers ready for the limelight, beware! The SEC recently announced charges against a nationally syndicated radio personality/investment adviser for spreading misleading information about a recommended investment strategy....

FINRA Taking a Closer Look at Conflicts of Interest: Are You Prepared?

The Financial Industry Regulatory Authority (FINRA) wants to know how you identify and manage conflicts of interest.  In a recent targeted examination letter, firms were informed that...

What Is the Biggest Compliance Concern for Registered Investment Advisers?

If you guessed social media, you are correct! A recent survey conducted by the Investment Adviser Association, ACA Compliance Group, and Old Mutual Asset Management found social...

New Jersey Hedge Fund Facing Serious Charges

Recent fraud charges against a New Jersey hedge fund are making the industry look bad.  Prosecutors allege that investment firm Osiris Fund L.P. bilked over 75 investors...

Municipal Adviser Legislation Advancing in Congress

While the SRO bill is stalled, another piece of legislation impacting registered investment advisers is advancing. A bill to increase oversight over municipal advisers moved forward in...

Bachus Op-Ed Reignites SRO Debate

Just when advisers thought Sen. Bachus had backed off his SRO bill, Jack’s back out of the box.  The House Financial Services Committee Chairman recently wrote an...

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