Federal Bureau of Investigation

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  Guiding Your Art-Loving Clients, Whether It’s a Passion or an Investment

  By Kathleen Tierney, Chubb  |  April 19, 2013

  Art collectors may love their pieces, but often they're as driven to buy by the perceived investing benefits. What’s the advisor’s role in guiding their clients?

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  Retiree Entitlements ‘Undermine’ Everything Else: Robert Samuelson

  By John Sullivan, AdvisorOne  |  March 19, 2013

  Washington Post columnist Robert Samuelson took a scorched-earth approach on Monday to what he sees as out-of-control entitlement spending.

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  Obama Blasts ‘Meat Cleaver’ Cuts as Simpson, Bowles Release New Plan

  By Melanie Waddell, AdvisorOne  |  February 19, 2013

  With little time left until the $85 billion in sequestration cuts take effect, President Barack Obama urged lawmakers Tuesday to avert the “brutal” cuts.

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  SEC Enforcement Roundup: Husband and Wife Charged in Charity Fraud Against Seniors

  By Marlene Y. Satter, AdvisorOne  |  February 7, 2013

  Also among recent enforcement actions was the sentencing of an insider trading informant who managed to avoid prison time for his cooperation.

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  A Broker Who Broke Bad

  By Jane Wollman Rusoff  |  January 23, 2013

  Serving nearly 400 days in federal prison wasn’t what Justin M. Paperny had in mind when he became a stockbroker fresh out of the University of Southern California, psychology degree in hand.

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  SEC, FINRA Enforcement Roundup: Eli Lilly to Pay $29M to Settle Foreign Bribery Charges

  By Marlene Y. Satter, AdvisorOne  |  January 3, 2013

  The SEC recently charged Eli Lilly for violations of the FCPA and barred an Arizona-based fund manager from the industry after the fund’s collapse. FINRA ordered Pruco Securities to pay $10.7 million.

• I Wish

  By Bill Miller  |  September 25, 2012

  I’ve always been intrigued by financial advisors.

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  Corzine Starting a Hedge Fund? Outrageous, Maybe, but Not Unprecedented

  By John Sullivan, AdvisorOne  |  August 20, 2012

  As the criminal investigation into the former MF Global head is dropped, rumors swirl that he may be starting a hedge fund. He wouldn't be the first disgraced financier to do so.

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  N.Y. Action on Standard Chartered Surprised Other Regulators

  By Marlene Y. Satter, AdvisorOne  |  August 8, 2012

  Not only was Standard Chartered apparently blindsided by the move, so were federal regulators; negotiations had been ongoing for some time for what the bank hoped would be a quiet settlement.

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  Death, Delusional Clients and Other Hard Lessons From a Breakaway Broker

  By Gil Weinreich, AdvisorOne  |  August 6, 2012

  How a friend’s death led a wirehouse broker to go independent; lessons learned from a difficult, delusional client—these are just a few of the stories veteran advisor Bob Collins tells...