Articles tagged "Madoff"

Ron Rhoades: Shouldn't the phrase: 'member, FINRA' be viewed like the warnings on cigarette packages -- i.e., as a consumer warning sign?

FINRA's scandalous litany of failures and its efforts to redefine the true fiduciary standard out of existence
Our one-man think tank continues his scathing indictment of the SRO's disingenuous and downright fraudulent practices

Wednesday 7.17.13
Bob Veres: 'Everyone feels screwed,' one advisor wrote.

The top 10 deepest fears -- and highest hopes -- of RIA practitioners
A decade of flatlining investment results has advisors worried about clients' faith in the very fabric of the markets

Monday 11.26.12
Mark Mensack: Bachus has ignored my own whistle-blower allegations against Morgan Stanley, which relate to what 401(k) expert Edward Siedle describes as fraud that 'makes Madoff look like chicken feed.'

Why Bachus' SRO-that-must-not-be-named would prove a tyrant to RIAs
The author says that as a private corporation endowed with governmental powers, FINRA is unsafe at any speed

Friday 8.24.12
This time around, Oliver Stone uses Gordon Gekko to go soft on Wall Street.

What Gordon Gekko has to say to advisors
Oliver's Stone's latest movie continues the thread of denial of the rot at the heart of Wall Street

Thursday 10.7.10
Joseph Vietri: Check-up calls on wire transfers will continue indefinitely and more safeguarding steps will be added to the program

Schwab won't stop at wire transfer check-up calls in its quest for airtight security of RIA client assets
Top service exec at big custodian says the tumult of the last 18 months led to the escalation of asset safeguards

Thursday 2.25.10
Hovig Melkonian: This is exactly how an auditor wants him: flustered

Elizabeth witnesses a mock audit first hand and feels the advisor's pain
Mock audits are in hot demand because they cut back on regulatory blindsiding

Wednesday 1.13.10
SEC Commissioner Luis A. Aguilar: These rules are a "Madoff fix."

SEC details new "Madoff fix" custody rules
Advisor groups relieved: no surprise audits for RIAs with third-party custodians

Wednesday 12.16.09
Bernie Madoff: Elie Wiesel trusted this solemn face and so did the heads of 150 foundations

Private foundations: Five steps to keep the next Bernie Madoff away from your assets
It's the process that matters; overly consistent returns are just one red flag

Friday 10.23.09
Bruce W. Maisel: Embraced the fiduciary standard on behalf of the American Council of Life Iinsurers

SIFMA's Taft makes anti-suitability comments but the fee crowd is wary
Mercer Bullard says that tiger is showing its stripes

Tuesday 10.6.09


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