Stephen Cutler

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  FINRA CEO: BrokerCheck Revamp Won’t Include Test Scores

  By Melanie Waddell, AdvisorOne  |  May 21, 2012

  At FINRA's annual conference, Richard Ketchum on Monday addressed concerns from brokers and advisors over test scores on the revamped BrokerCheck and other key issues.

• Stretched Too Thin?

  By Melanie Waddell, AdvisorOne  |  June 1, 2005

  No single commercial or governmental agency has as big an influence on financial planners and investment advisors as the Securities and Exchange Commission. Moreover, within...

• Bumper Crop Of Enforcement Actions

  By Staff Writer  |  June 1, 2004

  If you think the SEC is having a field day with new regulations, just check out the number of enforcement actions the regulator has issued...

• The IA 25

  By Staff Writer  |  May 1, 2004

  Who are the people who will most affect the way you practice your profession in the years ahead? We humbly submit the 2004 IA 25,...

• Spitzer Files Criminal Charges, SEC Seeks Civil Pe

  By Staff Writer  |  September 22, 2003

  NEW YORK (HedgeWorld.com)--New York State Attorney General Eliot Spitzer and Securities and Exchange Commission Director of Enforcement Stephen Cutler announced state criminal and federal civil...