by admin | Jan 13, 2015 | Securities Fraud
A widely accepted reality of the financial industry is that management typically turns a blind eye to potential indiscretions of star brokers — the top 1 percent. This is to avoid antagonizing the agents who bring in humungous amounts of money in fees and...
by admin | Jan 8, 2015 | Securities Fraud
Examiners with the Securities and Exchange Commission (SEC) are poring over much more data from advisory firms, and are able to use predictive analytics to identify warning signs of a likely violation. This was the essence of a speech given by John Walsh, a partner...
by admin | Dec 17, 2014 | Securities Fraud
Former Ameriprise Financial Inc. adviser Susan Walker recently pleaded guilty to defrauding 24 clients of $980,000. Walker used the money to pay for personal expenses, including vacations and private school tuition. The U.S. Attorney’s Office for the District of...
by admin | Dec 10, 2014 | Latest News
You may dream of someday passing down your family farm and your legacy to the next generation, but are you taking the necessary steps to prepare for that handoff? When it comes to successful succession planning, you do need more than a will – there are other important...
by admin | Dec 10, 2014 | Securities Fraud
With a record number of actions taken and fines levied, the Securities and Exchange Commission (SEC) experienced its most prolific year for enforcement in 2014, thanks to new investigative methods and innovative technology. According to the SEC’s preliminary figures,...
