Federal Bureau of Investigation

• 

  Small Firms at Greater Risk From Cyberthreats

  By Danielle Andrus, AdvisorOne  |  June 10, 2013

  It doesn’t matter how big your firm is—if you leave yourself vulnerable to cyberattack, you could be a victim, according to a white paper by First Clearing.

• 

  The Price of Everything: What’s the Value of Sound Advice?

  By Bob Clark, AdvisorOne  |  May 20, 2013

  The SEC Regulatory Accountability Act is yet another attempt by the securities industry to shift attention away from the consumer protections of requiring brokers to put the interests of their clients ahead of their own, by focusing solely on the “costs” of doing so.

• 

  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?

• 

  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.

• 

  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.

• 

  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.

• 

  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.

• 

  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.

• 

  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.