Contributing editor, Bill Singer, is a securities industry attorney who advocates on behalf of small- and mid-sized broker-dealers, registered persons, whistleblowers, and defrauded public investors.
Now that we’re in the Great Recession, perhaps financial advisors should join—and we don’t mean join as in managing Taft-Hartley plans, either—the union movement. A thread on Registered Rep.’s Advisor Forum wonders: What if reps had a union?...
If electronic-trading pioneer and philanthropist Bernard Madoff was such a convincing fraud, how can your clients trust you? You’re all potential Madoffs now....
Ponzi, Ponzi Everywhere: The SEC either has a coincidental backlog of Ponzi scheme cases closing in the wake of Bernard Madoff, or the agency has put...
SEC In Madoff Squeeze: The $50 billion question on everyone's mind as investigators sift through files and records of Bernard Madoff is how and for how...
Registered Rep.: You say SEC Chairman Christopher Cox is being treated unfairly. Why? Philip Moyer: Companies need to report in an electronic data format...
Recent weeks have been tough at my law firm. I hesitate to answer my phone. One client sobs to me about the loss of his savings, his job and his career....
Head Exam, More Delays For Jail-Bound Hedgie: After faking his suicide and going on the lam for 23 days to avoid a 20-year jail sentence for swindling...
Recycling Scam Perp Busted: Paul Merklingler of Novi, Mich., raked in $7.2 million from five investors between September 2006 and July 2007 with a simple...
Bugged offices, bogus Russian court judgments and a company named Pluton from Tatarstan run by a convicted murderer it sounds like a Tom Clancy novel....
The unprecedented seems to happen all too frequently in financial markets. Is there something wrong with the way financial advisors build their clients' portfolios? "Post" Modern Portfolio Theory says yes, and it's gaining currency...
Cultivating the Middle Class Millionaire
Based on extensive research with with more the 1,400 middle-class millionaires and more then 500 high-end advisors, Prince & Geracioti provide a detailed set of strategies and tactics to build a extremely successful advisory practice. Proven approaches to sourcing and converting prospects into loyal clients are meticulously explained. Also included are exercises to enable readers to more effective master the various strategies and tactics...
