Federal Bureau of Investigation

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  Who Will Regulate the Regulators?

  By Gil Weinreich, AdvisorOne  |  January 31, 2012

  Why did U.S. regulators fail to react to the alarming increases in leverage at financial institutions, or the shift of trillions of dollars of assets from banks’ balance sheets that were packaged into complex securities? Three former regulators propose a solution to what ails our regulatory system.

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  Advising International Clients; Looking Beyond Wirehouses: February Research—Slideshow

  By Editorial Staff  |  January 27, 2012

  Serving internationally mobile clients has become a growth industry for financial advisors, as Contributing Editor Ellen Uzelac discusses in Research magazine's February cover story "Advising Across Borders." Another February article, “Fear of Flying,” tells the stories of brokers who left the wirehouse world in order to become registered investment...

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  Email Hackers Stealing Investor Funds, FINRA Warns

  By Melanie Waddell, AdvisorOne  |  January 26, 2012

  FINRA issued an Investor Alert on Thursday warning investors that email hacking is on the rise, and that they should immediately contact their brokerage firm or financial institutions if they suspect their accounts have been compromised.

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  How to Host Memorable Client Events

  By Peter Montoya  |  November 28, 2011

  For financial advisors, there’s nothing quite like a spontaneous referral from a satisfied client.

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  Top 10 Financial Scams: Products and Practices

  By Melanie Waddell, AdvisorOne  |  September 1, 2011

  Advisors and investors beware: Economic uncertainty and volatile stock markets breed con artists itching to trap the unwary or merely desperate.

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  China Reverse Merger Boom Goes Bust Costing Investors Billions

  By Marlene Y. Satter, AdvisorOne  |  August 2, 2011

  Chinese reverse mergers, once all the rage, have cooled off, costing U.S. investors billions.

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  Protecting Wealthy Clients From Acts of God and Man: Slideshow

  By Kathleen McBride, AdvisorOne  |  March 18, 2011

  The options advisors have with insurance coverage and other planning strategies to protect clients’ lives, homes and fortunes when disasters occur.

• Protecting Wealthy Clients From Acts of God, Acts of Men: Slideshow

  By Kathleen McBride, AdvisorOne  |  March 18, 2011

  The options advisors have with insurance coverage and other planning strategies to protect clients’ lives, homes and fortunes when disasters occur.

• Protect Affluent Clients’ Data—and Privacy

  By Lewis Schiff  |  March 1, 2011

  We read about all the large data lapses in the news—credit card info for thousands of TJ Maxx customers stolen, Countrywide losing mortgage application data for thousands of people, etc.

• Mutual Fund Giants Ensnared in Insider Trading Probe

  By John Sullivan, AdvisorOne  |  November 29, 2010

  The Denver-based mutual fund company says it intends to fully cooperate with the inquiry.