SEC to investigate ... SEC
By Staff WriterThe U.S. Securities and Exchange Commission is in an unenviable position of late. Between dropping the ball on the Bernie Madoff scheme, and failing to pick up on the danger Wall Street's biggest banks were in, the Commission is struggling to
The year in regret
Action items for market survival
December 24, 2008
Big dreams, little schemesA Georgia financial advisor and registered representative pleaded guilty to mail fraud in connection with a scheme that victimized more than 10 clients and resulted in losses of $4.6 million. The advisor apparently convinced clients to liquidate
December 24, 2008
Action items for market survivalFor this issue of Market Conduct & Suitability, Jay Grubb of Key Financial Partners, who is a financial, retirement and estate planning specialist in Gwinnet Country, Ga., provides his thoughts on how advisors can survive and continue to do the
December 23, 2008
SEC 151A passes: What now?As you most likely know by now, on Dec. 17, U.S. Securities and Exchange Commission members voted 4-1 to pass Ruling 151A, a decision that could alter the way many of you in the financial services industry sell products. Last week, we covered the
December 23, 2008
Help clients cut costsNational Center for Policy Analysis Senior Fellow Devon Herrick, Ph. D., offers tips to help your clients save on health care. Review your clients' insurance options: If your clients are still working, make sure they review their
December 23, 2008
SEC 151A passes: What now?As you most likely know by now, on Dec. 17, U.S. Securities and Exchange Commission members voted 4-1 to pass Ruling 151A, a decision that could alter the way many of you in the financial services industry sell products. Last week, we covered the
December 23, 2008
S&P 500 pension funds could see record underfundingAnalysts at Standard and Poor's are expecting S&P 500 pension funds to report broad losses in their $1.5 trillion portfolio for 2008, and to potentially...
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