Articles tagged "Madoff"

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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

July 17, 2013 — 3:10 AM UTC

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

November 26, 2012 — 5:34 PM UTC

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

August 24, 2012 — 4:02 PM UTC

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

October 7, 2010 — 3:52 AM UTC

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

February 25, 2010 — 5:36 AM UTC

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

January 13, 2010 — 5:59 AM UTC

SEC details new "Madoff fix" custody rules

Advisor groups relieved: no surprise audits for RIAs with third-party custodians

December 16, 2009 — 9:43 PM UTC

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

October 23, 2009 — 9:03 PM UTC

SIFMA's Taft makes anti-suitability comments but the fee crowd is wary

Mercer Bullard says that tiger is showing its stripes

October 6, 2009 — 9:33 PM UTC
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