Bernie Madoff

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  The 2012 IA 25

  By Editorial Staff  |  April 24, 2012

  Some people ride a wave and some people, like the honorees of the 10th annual IA 25, create a wave.

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  SIPC Fights SEC’s Stanford Suit

  By Melanie Waddell, AdvisorOne  |  March 26, 2012

  One day after Allen Stanford was convicted on March 6 of operating a $7 billion Ponzi scheme, the CEO of the Securities Investor Protection Corp. (SIPC) told lawmakers that SIPC is not responsible for reimbursing Stanford investors for their losses.

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  Mets Settle Madoff Case for $162 million

  By John Sullivan, AdvisorOne  |  March 19, 2012

  The controversy over the Mets owners' involvement with Bernie Madoff came to a swift end on Monday as a $162 million settlement was reached just before trial.

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  What’s Behind Congressional Freeze on SEC Funding?

  By Bob Clark, AdvisorOne  |  March 15, 2012

  In part one of a two-part series on the Bizarro World inside the beltway, a skeptical observer suggests there’s a method to the madness of starving the SEC of what it needs to do its job.

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  How Bernie Madoff Is Harming Your IRA

  By John Sullivan, AdvisorOne  |  March 14, 2012

  Madoff, it seems, is having a profound and lasting effect on how large firms handle IRAs, which is to say that more and more are not handling them at all.

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  At SSG Conference, CEO Mangan Focuses on Trust and Independence

  By James J. Green, AdvisorOne  |  March 1, 2012

  At first national conference of Shareholders Service Group, leader Peter Mangan says fiduciary standard shows investors who they can trust.

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  To Restore Consumer Confidence, Make Every Advice Giver a Fiduciary

  By Paul H. Auslander, Financial Planning Association  |  February 16, 2012

  The problem: the investing public doesn’t know who is and who isn’t a fiduciary. The solution: Make everyone a fiduciary and level the playing field.

• Corzine, Madoff and ‘Good’ Advisors

  By James J. Green, AdvisorOne  |  December 28, 2011

  I felt bad for Jon Corzine as he took his (subpoenaed) seat at a House Agriculture Committee hearing on Dec. 8.

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  Top 10 Christmas Movie Villains

  By Dan Berman, AdvisorOne  |  December 21, 2011

  Christmas is a time of giving and love. But for movies (and real life) the truth is that without a villain (or at least a gaggle of relatives with irritating habits) we would never know just how joyful the season can be at times.

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  Tom Bradley of TD Ameritrade Suggests FINRA Trial Exams for Dually Registered

  By James J. Green, AdvisorOne  |  November 10, 2011

  Head of TD Ameritrade Institutional has an ‘open mind’ on SRO, but says ‘harmonization is not the answer.’