BROWSE BY TOPIC
Stories of Interest
- CFTC Chair Giancarlo Appoints Bruce Tuckman as Chief Economist
- Twice-Convicted Ex-Jefferies Trader Litvak Faces Prison After Losing Bail Request
- Wells Fargo Hikes Full-Year S&P 500 Target
- SEC Institutes Administrative Proceedings Against Shkreli
- Goldman's Lloyd Blankfein Seems to be Making a Habit Out of Trolling Trump
- Goldman on Hunt for Star Traders to Revive Struggling Commodities Unit
- Yahoo Owes Millions for Busting NCAA Tourney Bracket Deal
- JPMorgan Joins 21st Century Fox in Fighting 'Deep Divisions Across Our Country'
- Please, God, Save Gary Cohn From Himself: The Case for Resigning
- Regulatory Considerations When Bringing on a New Advisor
- Why Deutsche Bank is at Mercy of Regulators
- U.S. Treasury Auction Class-Action – Federal Judge Causes Interminable Delay
- Mnuchin Rejects Calls to Resign and Defends Trump
- Best Time to Go to the U.S. (Tennis) Open Tourney - Before It Starts on August 28
- Stifel Prevails in Arbitration But Ex-Hilltop Employees Hit with Awards - Bill Singer
- Banca IMI Securities to Pay $35Mn for Improper Handling of ADRs in Continuing SEC Crackdown
- Members of White House ‘Arts Panel’ Resign En Masse in Protest of Trump
- FINRA Whiffs on Disciplinary Sanction: Bill Singer's 'Negligent Market Manipulation in OTC Stock Promotion'
- Heather Heyer’s Mother Says, ‘I’m Not Talking to the President’
- Goldman Sachs May Have Lost $100Mn on Energy Bet Gone Wrong
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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