FINRA at 5 Years: Highlighting 7 Areas of Action
Quite a bit has happened in those five years: billion-dollar frauds, a flash crash exposing major volatility issues and a bill supporting FINRA as advisors' SRO, to name a few developments.
SEC Enforcement Roundup: Former SEC Official Barred for Ties to Stanford
Conflict of interest charges against a former SEC official and charges of deceiving investors against a Miami-based hedge fund advisor were among the enforcement actions taken recently by the SEC.
Allen Stanford and Jon Corzine: The 2012 IA 25 Extended Profile
Allen Stanford and Jon Corzine: two names that have come to occupy the same sullied space as Bernie Madoff.
Jason Zweig Calls for Robots as Regulators
Jason Zweig is causing controversy—again—suggesting the ongoing SRO debate would be solved with robots (seriously).
The 2012 IA 25
Some people ride a wave and some people, like the honorees of the 10th annual IA 25, create a wave.
Special Report: The 2012 IA 25
Throughout the rest of April and May, we’ll be publishing extended versions of each profile, including exclusive interviews, on AdvisorOne.
SIPC Fights SEC’s Stanford Suit
One day after Allen Stanford was convicted on March 6 of operating a $7 billion Ponzi scheme, the CEO of the Securities Investor Protection Corp. (SIPC) told lawmakers that SIPC is not responsible for reimbursing Stanford investors for their losses.
Allen Stanford Found Guilty of $7 Billion Ponzi Scheme
Former billionaire Allen Stanford was convicted Tuesday of running a $7 billion Ponzi scheme. He was found guilty on 13 counts of a 14-count criminal indictment, including fraud and conspiracy.
‘Triumphs’ of the Regulators
The magnificent and multiple failures of financial regulators over the past few years have been rather alarming.
Stanford Fraud Trial Bigger ‘Black Eye’ for SEC, FINRA Than Madoff
The Allen Stanford trial began on Monday for his alleged $7 billion Ponzi scheme that involved supposedly ‘safe’ certificates of deposit.