BROWSE BY TOPIC
Stories of Interest
- SEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures
- SEC Charges Former Bitcoin Exchange and Its Founder With Fraud
- JPMorgan Chase to Replace NYC Headquarters with 70-Story Skyscraper
- Citigroup Raises CEO Corbat's Pay 48% to $23Mn
- Should Congress Create a Crypto-Cop?
- JPMorgan Weighs Buying an Exchange-Traded Funds Firm
- Hey, Goldman Sachs: Wanna Buy BNY Mellon?
- SEC Order Rejecting Acquisition of Chicago Stock Exchange (CSX) by Chinese-Baesd Company
- Kyle Moffatt Named Chief Accountant in SEC CorpFinance
- SEC Suspends Trading in 3 Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology
- Karen Garnett, Assoc. Director of SEC CorpFinance, to Leave After 23 Years of Service
- Louisiana Adviser Barred for Hiding Losses from Investors
- Connecticut HF Manager Illegally Diverted Investor Money - Now Owes Nearly $13Mn
- White House Cleaning House of Advisors Without Full Security Clearance
- Goldman Projects 30% Growth in Wealth Management Advisor Force
- Whistleblower Alleges Manipulation of CBOE Volatility Index
- FINRA Looking Into VIX (CBOE Volatility Index) Manipulation: WSJ
- Atlanta-Area Resident Charged with Misusing Investor Funds - SEC
- FINRA Announces 2018 West Region Networking Seminar
- Alberto Arevalo, Associate Director in Office of International Affairs, to Retire From SEC
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NEWSLETTERS & ALERTS
‘Ask and Check’ Before Investing
On Monday, the SEC announced an emergency asset freeze and temporary restraining order against Daniel Glick, a Chicago-based investment adviser, and his unregistered company, Financial Management Strategies (FMS). 'Glick & Co.' are charged with scamming elderly investors out of millions and covering up the fraud with false account statements. [Click SEC PressRelease, 3/28/17]
Unbeknownst to the investors, Glick had been barred by FINRA in 2014, and he had his CFP (Certified Financial Planner) designation and CPA license revoked for conduct unrelated to Monday’s SEC charges.
Which, once again, prompts the SEC to encourage investors to check the background of anyone offering to sell them investments. Here's where they and you can search:
Investment Advisers and Broker/Dealer
- SEC Investment Adviser Public Disclosure (IAPD)
- FINRA BrokerCheck
- FINRA Professional Designations Database
- NASAA State Securities Regulators
- SIPC List of Members
- EDGAR (Electronic Data Gathering, Analysis and Retrieval)
- NFA Background Affiliation Status Information Center (BASIC)
- CFTC Disciplinary History
- CFTC SmartCheck