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Blog Posts in January, 2014

SEC Issues Risk Alert Criticizing Advisors' Handling of Alternative Investments

The Security and Exchange Commission's National Exam Program issued a risk alter titled " Investment Adviser Due Diligence Processes for Selecting Alternative Investments and their Respective ...
Continue reading "SEC Issues Risk Alert Criticizing Advisors' Handling of Alternative Investments" »

JP Morgan's Stephanie Ann Becker Barred for Improper Conversion of Customer Funds

FINRA barred broker Stephanie Ann Becker (nee Templeton) for converting $14,100 in customer funds while associated with J.P. Morgan Securities, LLC and a bank affiliate of the firm. FINRA Case ...
Continue reading "JP Morgan's Stephanie Ann Becker Barred for Improper Conversion of Customer Funds" »

SEC National Exam Program's Investment Adviser & Company Priorities for 2014

In addition to its broker-dealers priorities list, the SEC released its 2014 examination priorities as pertains to the investment adviser/investment company program, which has primary authority for ...
Continue reading "SEC National Exam Program's Investment Adviser & Company Priorities for 2014" »

SEC National Exam Program Issues Broker-Dealers Priorities List for 2014

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued examination priorities for 2014 as part of the office's National Exam Program, whose mission ...
Continue reading "SEC National Exam Program Issues Broker-Dealers Priorities List for 2014" »

Lisa Ann Timmerman Fined & Suspended for Writing Checks in Accounts with Insufficient Funds

FINRA suspended former Morgan Stanley Smith Barney broker Lisa Ann Timmerman and fined her $5,000 for writing a series of checks against her personal brokerage account when the account had ...
Continue reading "Lisa Ann Timmerman Fined & Suspended for Writing Checks in Accounts with Insufficient Funds" »

Massachusetts Charges Christopher Veale for Abusive Sales Practices & Churning in Elderly Client's Account

Massachusetts Secretary of the Commonwealth William F. Galvin charged former Brookville Capital Partners LLC broker Christopher Frederic Veale for allegedly engaging in abusive sales practices ...
Continue reading "Massachusetts Charges Christopher Veale for Abusive Sales Practices & Churning in Elderly Client's Account" »

Edward D. Jones Fined $200K + $52,000 in Restitution for Improper ETF Sales

FINRA fined Edward D. Jones & Co. LP $200,000 and ordered $52,000 in restitution to a series of customers it says were improperly sold non-traditional exchange-traded funds ("ETFs"). ...
Continue reading "Edward D. Jones Fined $200K + $52,000 in Restitution for Improper ETF Sales" »

Four Risky & Sometimes Dangerous Investments to Avoid in 2014

One week removed from FINRA's 2014 Business Conduct Priorities release, which discussed suitability and identified areas that concerned regulators, Forbes has taken the advisory notice a step ...
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FINRA Tells Firms to Put Clients First with Conflicts of Interest Report

As the 2013-14 winter season becomes frostier, FINRA put forth a message of warmth by cautioning firms to turn a cold shoulder to business activities that pose a conflict of interest and instead put ...
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FINRA to Firms: Investment by Seniors Subject to Special Compliance Considerations

FINRA, the SEC and NASAA have all issued 2014 notices to member firms, brokers and financial advisers regarding how products and services may, should and should not be marketed and sold to senior ...
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SEC Seeks Admission, Apologies from Big Banks that Broke Securities Laws During Crashes

In a long due departure from its standard practice of allowing banks, brokerages, and companies to settle civil cases without admitting any wrongdoing, SEC chair Mary Jo White went on record stating ...
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FINRA Targets Frontier Funds: A Developing Market Mutual Funds Primer

When FINRA announced its Business Conduct Priorities for 2014, the list included a peculiar investment known as Frontier Funds, or funds that operate in developing markets known as the frontier. ...
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FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams

FINRA announced its Business Conduct Priorities for 2014 on Thursday, leading off with the issue of suitability of recommendations for complex products. In its discussion about suitability, FINRA ...
Continue reading "FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams" »

FINRA Warns Firms Against Blind 401(k) to IRA Fund Transfer Recommendations

In one of its last acts of 2013, FINRA issued a year's end regulatory notice to member firms reminding them of firm responsibilities concerning rollovers to individual retirement accounts ...
Continue reading "FINRA Warns Firms Against Blind 401(k) to IRA Fund Transfer Recommendations" »
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