Bernard Madoff

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  SEC Skates in Madoff Case

  By John Sullivan, AdvisorOne  |  April 10, 2013

  Ruling deals a final blow to investors who claimed negligence on the part of the regulatory body.

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  DOL, SEC, FINRA Enforcement Roundup: DOL Recovers $43 Million for Madoff Victims

  By Marlene Y. Satter, AdvisorOne  |  February 28, 2013

  Among other recent enforcement actions were SEC charges against two Connecticut-based hedge fund managers and their firms for fraud.

• Was Madoff a Ponzi?

  By Ronald Delegge, ETFguide.com  |  January 23, 2013

  Dec. 11, 2012 marked the four-year anniversary of when Bernard Madoff’s multi-billion dollar heist was exposed.

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  The Top Wealth Managers 2012 Profiles: No. 5—Central Registered Investment Advisors

  By Marlene Y. Satter, AdvisorOne  |  September 11, 2012

  At No. 5 on the list of Top Wealth Managers: Central Registered Investment Advisors, providing a level of comfort for its client base.

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  5 of History’s Brazen Crooks Who Defrauded Markets

  By Dan Berman, AdvisorOne  |  July 11, 2012

  Remember Ken Lay? Probably. Remember Alves dos Reis? Probably not, but he nearly bankrupted a country in 1925.

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  Stanford Sentenced to 110 Years

  By Marlene Y. Satter, AdvisorOne  |  June 15, 2012

  R. Allen Stanford was sentenced to 110 years in prison on Thursday after orchestrating a $7 billion international fraud that fueled an illicit lifestyle while bilking investors.

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  In FSI Testimony Before Congress on SRO, a Call for a Level Regulatory Field

  By Dale Brown, Financial Services Institute  |  June 6, 2012

  In voicing support for HR 4624, FSI believes an advisor SRO will close an unacceptable regulatory gap that leaves investors exposed to potential fraud and abuse at the hands of unscrupulous investment advisors.

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  Why Bachus’ SRO Bill Misses the Target

  By Jack Herstein, NASAA  |  June 1, 2012

  Bachus’ SRO bill would impose rigid exam standards on state regulators without corresponding standards on either the SEC or SROs.

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  Rymer Named Interim IG at SEC

  By Marlene Y. Satter, AdvisorOne  |  May 31, 2012

  Rymer, who currently serves as inspector general of the FDIC, will serve as interim inspector general of the SEC until a permanent successor can be found.

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  Jason Zweig Calls for Robots as Regulators

  By John Sullivan, AdvisorOne  |  May 11, 2012

  Jason Zweig is causing controversy—again—suggesting the ongoing SRO debate would be solved with robots (seriously).