J. Kevin Edmundson, who works out of the Enforcement Division within the SEC Regional Office in Fort Worth, Texas - and is investigating the case ...
Tucked deep inside last week's government report on the Troubled Asset Relief Program (TARP) can be found the tab Uncle Sam has had to fork ...
You've heard that in this market you long ago should have been on the horn to clients to talk about their investment strategy. Well a ...
The OCIE examiners showed up in January requesting documents from the registered advisory firm Acorn Capital Management of Kennett Square, Pa. The firm's owner and ...
A new list of assets supposedly owned by Bernie and Ruth Madoff has made its appearance in court documents filed April 20, even as a ...
In a message that will be heard clearly by advisers who funneled investors' cash to Bernie Madoff, a New York registered investment advisory firm has ...
When conducting due diligence, you certainly could start by calling a party's references, but don't stop there. The wiser course would be to look over ...
On the other end of the phone line sat a major institutional investor with a simple question: "What can you do for us?"The adviser knew ...
Confidence doesn't exactly ooze from those charged with valuing bonds, especially the municipal variety, and the economic times are conspiring to make the task harder ...
Your comments are welcomed on a new proposal to hear from the industry on a plan to create a safe harbor for those who use ...
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