rogue-advisor

Rogue Advisors on Parade A Dover, Massachusetts life broker is going to jail for filing fraudulent tax returns. The broker, Anthony J. May, 62, was sentenced to eight months in prison and a year of supervised release after being convicted for failing to disclose commissions and other income on his federal tax returns. May owned […]

broker-dealer-compliant

As a financial professional, you understand why it’s important to maintain a clean compliance record. Without one, it’s hard to grow your business from among today’s skeptical prospects. But do you also know why it’s equally crucial for all of your intermediary firms to be as committed to compliance as you are? Unless your broker-dealer, […]

ten-reasons-to-buy-your-eo-online

If you’re like most people, your old habits may die hard. For example, you may have started buying E&O insurance decades ago in the usual fashion . . . shopping for an agent, requesting a quotation, filling out a paper application, then waiting days or weeks for your E&O policy to arrive in the mail. […]

investment-fraud-prevention

Warn Your Clients Now: FINRA Does NOT Guarantee Investment Opportunities The ingenuity of investment scammers has no limits. Now they are invoking the names and logos of regulatory agencies in order to entice their victims—your clients—to part with their hard-earned cash.  To help them stay safe, caution them to watch for solicitations that use a […]

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