advertising materials

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  SEC, FINRA Enforcement: Father, Son Cherry-Picking Scheme; South Miami in Muni-Bond Fraud

  By Marlene Y. Satter, AdvisorOne  |  May 23, 2013

  Recent enforcement actions include charges against a father and son for making undeclared trades and then cherry-picking the profitable ones, and charges against the city of South Miami for defrauding investors on muni bonds.

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  FINRA’s 5 Key Enforcement Trends to Watch in 2012

  By Melanie Waddell, AdvisorOne  |  March 16, 2012

  The significant jump in fines issued by FINRA in 2011 provides a look into the top areas that the regulator will be focusing on in 2012, according to the law firm Sutherland Asbill & Brennan.

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  FINRA’s Top 5 Enforcement Issues of 2011

  By Melanie Waddell, AdvisorOne  |  March 12, 2012

  A survey of FINRA sanctions by Sutherland Asbill focuses on the top enforcement issues in 2011, showing that fines jumped 51% over 2010, with more reps barred.

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  Books and Records Rule

  By Les Abromovitz  |  January 1, 2012

  Thorough and complete books and records enable RIAs to demonstrate that they have fulfilled their fiduciary obligations to clients and complied with applicable rules and regulations.