PRESS

Press: Major Outlets

Bloomberg:

http://www.bloombergview.com/articles/2016-03-02/broker-misconduct-is-worse-than-we-thought

http://www.bloomberg.com/news/articles/2016-03-01/it-just-got-even-harder-to-trust-financial-advisers 

http://www.bloomberg.com/gadfly/articles/2016-03-08/calling-for-better-financial-advisers

http://www.bloombergview.com/articles/2016-03-01/holdouts-inquiries-routers-and-hats 

 

CBS:

http://www.cbsnews.com/news/did-you-check-your-advisors-history-heres-why-you-should/ 

 

Chicago Tribune:

http://www.chicagotribune.com/business/ct-personal-finance-financial-advisers-20160301-story.html 

 

CNBC:

http://www.cnbc.com/2016/03/02/financial-advisors-misconduct-re-hired.html

 

CNN Money:

http://money.cnn.com/2016/04/13/retirement/honest-financial-adviser/

 

The Economist:

http://www.economist.com/news/finance-and-economics/21693975-americas-revolving-door-financial-advisers-who-do-down-their-clients-rotten

 

Financial Times:

http://www.ft.com/intl/cms/s/2/5e1b3e04-cb41-11e5-a8ef-ea66e967dd44.html#axzz45eNetZ00

http://ftalphaville.ft.com/2016/03/01/2154793/the-financial-adviser-scammers/

 

Forbes:

http://www.forbes.com/sites/carolynrosenblatt/2016/03/15/hidden-risks-with-your-aging-parents-broker/#130a4c9d3ea0

 

Le Monde

http://www.lemonde.fr/economie/article/2016/04/12/lettre-de-wall-street-et-les-plus-malhonnetes-sont_4900251_3234.html 

 

New York Times:

http://www.nytimes.com/2016/04/09/your-money/is-your-stockbroker-troubled-heres-one-way-to-find-out.html?_r=0

 

PBS

http://www.pbs.org/wgbh/frontline/article/does-your-financial-advisor-have-a-fraud-record/ 

 

Washington Post:

https://www.washingtonpost.com/news/monkey-cage/wp/2016/03/02/hold-this-is-how-unethical-financial-advisers-can-get-away-with-it/

https://www.washingtonpost.com/news/get-there/wp/2016/03/23/scottie-pippen-was-scammed-by-his-adviser-how-to-learn-from-his-experience/

https://www.washingtonpost.com/news/wonk/wp/2016/03/07/beware-of-your-financial-adviser/

https://www.washingtonpost.com/news/get-there/wp/2016/03/02/why-you-should-second-guess-your-financial-adviser/

 

Wall Street Journal:

http://www.wsj.com/articles/is-your-broker-good-or-bad-1461342875

http://www.wsj.com/articles/tracking-financial-adviser-misconduct-a-new-database-1456786017

http://www.wsj.com/articles/brokerages-with-checkered-past-to-face-new-disclosure-focus-finra-ceo-says-1462308550

 

Press: Other Outlets 

 

13 News Now (ABC Norfolk, VA)

http://www.13newsnow.com/money/personal-finance/is-your-financial-adviser-ripping-you-off/90189592

 

5 On Your Side (NBC St. Louis, MO)

http://www.ksdk.com/news/nation-now/is-your-financial-adviser-ripping-you-off/90189469 

 

AdvisorHub

http://advisorhub.com/wells-ubs-opco-named-in-scathing-report-on-broker-misconduct/ 

 

Aktuálně.cz

http://blog.aktualne.cz/blogy/boris-tomciak.php?itemid=27137

 

American Association of Individual Investors

http://www.aaii.com/journal/article/advisers-with-records-of-misconduct-often-rehired

 

Beck Capital Management

http://beckcapitalmgmt.com/uncategorized/new-study-emphasizes-importance-of-conducting-background-check-on-financial-advisor/ 

 

Better Markets

https://www.bettermarkets.com/newsroom/financial-reform-newsletter-march-10-2016 

 

Block & Landsman

http://block-landsman.com/broker-fraud-safe-investments/ 

 

Business Insider

http://www.businessinsider.com/financial-adviser-misconduct-study-2016-3 

http://www.businessinsider.sg/financial-advisor-insights-march-3-2016-3/#.VxU12ZwrKUk 

 

Cadwalader Cabinet

https://www.findknowdo.com/news/03/04/2016/scholars-investigate-misconduct-financial-adviser-space 

 

Cedar Stone Advisors

http://cedarstoneadvisors.com/can-i-trust-my-financial-advisor/ 

 

Chicago Booth Capital Ideas

http://chicagobooth.edu/capideas/blog/2016/february/does-your-financial-adviser-specialize-in-misconduct 

 

Chicago Daily Herald 

http://www.dailyherald.com/article/20160327/business/160329187/ 

 

City A.M.

http://www.cityam.com/236199/why-you-cant-trust-your-financial-adviser 

 

Consumer Reports

http://www.consumerreports.org/personal-finance/why-your-financial-adviser-may-not-be-trustworthy/ 

 

Credit.com

http://blog.credit.com/2016/03/how-to-do-a-background-check-on-your-financial-adviser-139158/ 

 

CT Post

http://www.ctpost.com/technology/businessinsider/article/The-Wolves-of-Wall-Street-are-everywhere-6863667.php 

 

Deseret News

http://www.deseretnews.com/article/865649312/At-least-7-percent-of-financial-advisers-have-committed-fraud-Has-yours.html?pg=all 

 

Dividend Reference

http://dividendreference.com/articles/2016/1002627/reason-387-to-avoid-financial-advisors/ 

 

Eccleston Law

http://www.ecclestonlaw.com/eccleston-law-blog/new-study-casts-doubt-on-the-financial-advising-industry 

 

El Confidencial

http://www.elconfidencial.com/alma-corazon-vida/2016-03-21/formulas-timo-verdaderos-lobos-wall-street-sector-financiero-firmas-tolerantes-fraude-mala-praxis-jordan-belfort_1162098/ 

 

Elder Resource Center

http://erg.care/2016/03/16/financial-elder-abuse/ 

 

EurekAlert

http://www.eurekalert.org/pub_releases/2016-03/uocb-dyf030116.php 

 

eWallstreeter

http://ewallstreeter.com/financial-adviser-misconduct-are-reemployed-in-financial-services-industry-within-a-year-other-scary-stats-10728/ 

 

Financial Advisor

http://www.fa-mag.com/news/it-just-got-even-harder-to-trust-financial-advisors-25449.html 

http://www.fa-mag.com/news/broker-misconduct-is-worse-than-we-thought-25476.html?section=3 

 

Financial Advisor IQ

https://financialadvisoriq.com/c/1308253/147443 

http://financialadvisoriq.com/c/1304963/147413/half_fired_misconduct_rehired_year?referrer_module=topicBox&module_order=8 

 

Fonds Nieuws

http://www.fondsnieuws.nl/nieuws/een-slechte-adviseur-blijft-vaak-een-slechte-adviseur 

 

Funny About Money

http://funny-about-money.com/check-up-on-your-financial-adviser/ 

 

Greenwich Time

http://www.greenwichtime.com/technology/businessinsider/article/The-Wolves-of-Wall-Street-are-everywhere-6863667.php 

 

International Adviser

http://www.international-adviser.com/news/1027957/scale-us-financial-adviser-misconduct-revealed 

 

International Business Times

http://www.ibtimes.com/savers-beware-study-names-10-firms-highest-rates-financial-adviser-misconduct-2327411 

 

Investment Executive

http://www.investmentexecutive.com/-/research-finds-prevalence-of-advisor-misconduct-in-the-u-s- 

 

Investment News

http://www.investmentnews.com/article/20160313/FREE/303139999/weeding-out-rogue-brokers 

http://www.investmentnews.com/article/20160303/FREE/160309966/wall-st-critic-warren-grills-finras-ketchum-on-regulators-ability-to 

 

Investment U

http://www.investmentu.com/article/detail/50059/chart-10-financial-firms-with-highest-broker-misconduct#.Vw1IDZwrKUk 

 

Investopedia

http://www.investopedia.com/articles/financial-advisors/031716/disciplined-advisors-find-new-jobs-fast-how-avoid-them.asp# 

 

Investor’s Business Daily

http://www.investors.com/news/management/financial-advisor-briefing/does-your-financial-advisory-firm-keep-rule-breakers-on-staff/ 

 

IOL

http://www.iol.co.za/business/international/is-there-reason-to-be-wary-of-financial-advisers-1992912 

 

KITCES

https://www.kitces.com/blog/finra-brokercheck-market-for-financial-adviser-misconduct-study-on-brokers/ 

 

Knoxville News Sentinel

http://www.knoxnews.com/business/columnists/david-moon/is-that-a-financial-adviser-or-a-salesman-2db3de06-95b1-5f8c-e053-0100007f150a-371709631.html 

 

Law 360

http://www.law360.com/articles/766280/bad-boy-broker-study-shines-light-for-regulators-to-follow 

 

Law Offices of Jonathan W. Evans

http://www.stocklaw.com/Securities-Fraud-Blog/2016/March/7-of-Financial-Advisers-Industry-Wide-Cited-for-.aspx 

 

Law Offices of Marc I. Zussman

http://www.zussmansecuritieslaw.com/blog/2016/03/check-up-on-your-financial-adviser-you-might-be-surprised.shtml 

 

Law Professor Blogs Network

http://lawprofessors.typepad.com/trusts_estates_prof/2016/03/broker-misconduct-is-a-growing-issue-with-elderly-clients.html 

 

Law Street

http://lawstreetmedia.com/blogs/culture-blog/trust-financial-advisers/ 

 

Legacy Care Planning

http://www.legacycareplanning.com/blog/2016/4/9/unscrupulous-advisers-targeting-the-elderly 

 

LesEchos

http://www.lesechos.fr/finance-marches/marches-financiers/021734990148-wall-street-recycle-ses-mauvais-elements-1203949.php 

 

Lexology

http://www.lexology.com/library/detail.aspx?g=0dcf7da9-c2a5-4d9f-b6ba-2c75d8a693f3 

 

Mancell Financial Group

http://www.mfg.com.au/blog/adviser-trust-long-way-go-everywhere/ 

 

Meyer Wilson

http://www.investorclaims.com/Blog/2016/March/Roughly-20-of-Oppenheimer-Advisers-Cited-for-Mis.aspx 

 

MGH Financial Planners

http://mghfp.com.au/index.php/news-blog/282-adviser-trust-a-long-way-to-go-everywhere 

 

Minneapolis/St. Paul Business Journal

http://www.bizjournals.com/twincities/morning_roundup/2016/03/study-some-financial-advisers-specialize-in.html 

 

Money

http://time.com/money/4243728/financial-advisors-study/ 

 

MoneyTalks News

http://www.moneytalksnews.com/another-reason-take-hard-look-your-financial-adviser/ 

 

Mononews

http://mononews.gr/liki-tis-wall-street-ine-pantou/28191 

 

Moon Capital Management

http://www.mooncap.com/adviser-regs-allow-misconduct/ 

 

Morning Consult

https://morningconsult.com/alert/25618/

 

Morning Consult

https://morningconsult.com/alert/sen-warren-grills-finra-chief-on-investment-advisor-misconduct/ 

 

Morningstar Advisor

http://www.morningstar.com/advisor/t/113836965/study-some-20-of-oppenheimer-financial-advisers-cited-for-misconduct.htm 

 

Motley Fool

http://www.fool.com/investing/general/2016/03/20/surprise-theres-a-new-bank-atop-the-latest-brand-l.aspx 

 

NAOI Investment Research Center

http://naoi.org/blog/2016/3/5/the-market-for-financial-advisor-misconduct 

 

NASDAQ

http://www.nasdaq.com/article/kitces-rogue-brokers-still-not-being-reined-in-cm597305 

 

NASDAQ

http://www.nasdaq.com/article/trusting-advisors-just-got-harder-cm587856 

http://www.nasdaq.com/article/study-some-20-of-financial-advisers-cited-for-misconduct-cm587686 

 

National Ethics Association

https://www.ethics.net/a/financial-advisors-behaving-badly-turning-lemons-into-lemonade 

 

New York Securities Lawyers Blog

http://www.newyorksecuritieslawyersblog.com/2016/03/new-study-reveals-7-financial-advisers-guilty-misconduct-safe.html 

 

NewsOK

http://newsok.com/article/5483791 

 

Newswise

http://www.newswise.com/articles/does-your-financial-adviser-specialize-in-misconduct 

 

Oblivious Investor

http://www.obliviousinvestor.com/investing-blog-roundup-advisor-misconduct-its-not-rare/ 

 

oPojištění

http://www.opojisteni.cz/tema/americti-poradci-pod-drobnohledem-etika-vs-kvalita/ 

 

Paladin

http://blog.paladinregistry.com/advisors-2/f-word-fiduciary-standard-of-care/ 

 

Patrina

http://patrina.com/blog/are-financial-advisors-really-less-trustworthy-than-uber-drivers/ 

 

Physician’s Money Digest

http://www.hcplive.com/physicians-money-digest/columns/my-money-md/03-2016/black-sheep-brokers 

 

Pittsburgh Post-Gazette

http://www.post-gazette.com/business/money/2016/03/14/Len-Boselovic-s-Heard-off-the-Street-Study-7-percent-of-advisers-have-misconduct-records-1/stories/201603140028 

 

Place and Hanley

http://placeandhanley.com/2016/03/study-shows-7-of-financial-advisors-are-disciplined-for-misconduct/ 

 

Planadvisor

http://www.planadviser.com/Many-Advisers-With-Misconduct-Records-Are-Reemployed/ 

 

PR Newswire

http://www.prnewswire.com/news-releases/mark-a-tepper-law-firm-welcomes-new-rules-to-protect-americans-saving-for-retirement-300251763.html 

 

Press Reader/Albuquerque Journal

http://www.pressreader.com/usa/albuquerque-journal/20160406/281840052817930 

 

Pro Market (Stigler Center Blog)

https://promarket.org/is-fraud-in-the-financial-sector-a-bug-or-a-feature/ 

 

Prudent Money

http://www.prudentmoney.com/does-your-advisor-have-a-record-and-you-dont-know-it/ 

 

Quartz

http://qz.com/627762/a-new-study-confirms-your-worst-suspicions-financial-firms-prey-on-unsophisticated-consumers/ 

http://qz.com/638603/sorry-senator-warren-your-plan-wont-fix-financial-advisors/ 

 

Real Business

http://realbusiness.co.uk/article/33513-financial-advisers-who-engage-in-misconduct-often-get-to-keep-their-jobs 

 

Rendero Actueel

http://www.renderoactueel.com/content/index.php/editie-zuidoost-drenthe/assurantien-pensioen/10777/vlek 

 

Science Daily

https://www.sciencedaily.com/releases/2016/03/160301131440.htm 

 

Seeking Alpha

http://seekingalpha.com/article/3950756-study-7-percent-financial-advisers-cited-misconduct 

http://seekingalpha.com/article/3952186-many-20-percent-advisors-firms-crooks-financial-advisors-daily-digest 

 

Sierra Sun

http://www.sierrasun.com/news/business/21365000-113/tahoe-market-pulse-new-rules-to-protect-investors 

 

SIFMA

http://www.sifma.org/members/hearings.aspx?id=8589959106 

 

St. Louis Post-Dispatch

http://www.stltoday.com/business/local/beware-of-your-financial-adviser/article_9a11616d-f43e-567a-a934-199d28c9cbe2.html 

http://www.stltoday.com/business/columns/david-nicklaus/nicklaus-study-sparks-debate-over-broker-misconduct/article_9f62cd4b-f085-5d42-9394-694911c8d5d5.html 

 

Star Tribune

http://www.startribune.com/many-brokers-stay-on-the-job-despite-complaints/375565201/ 

 

Stockbroker Fraud Blog

http://www.stockbrokerfraudblog.com/2016/03/study_accuses_nearly_20_of_opp.html 

 

Susan Antilla

http://susanantilla.com/tag/the-market-for-financial-adviser-misconduct/ 

 

Tampa Bay Times

http://www.tampabay.com/news/business/banking/new-study-ranks-raymond-james-among-top-ten-firms-for-financial-adviser/2267704 

 

TechEdge

http://techedgellc.com/how-will-social-pressures-spotlight-leadership-trust-crisis/ 

 

The Atlantic

http://www.theatlantic.com/business/archive/2016/03/financial-advisors-finra-warren/472191/ 

 

The Cogent Advisor

http://www.thecogentadvisor.com/blog/2016/04/the-company-you-keep-the-advice-you-accept/ 

 

The Fiscal Times

http://www.thefiscaltimes.com/2016/03/04/10-Financial-Companies-Need-Win-Back-Your-Trust 

 

The Guiliano Law Firm

https://securitiesarbitrations.com/investors-beware-the-trillion-dollar-cost-of-investment-fraud/ 

 

The Irrelevant Investor

http://theirrelevantinvestor.com/2016/03/01/misconduct/ 

 

The Motely Fool

http://www.fool.com/investing/general/2016/03/09/surprise-theres-a-good-chance-your-broker-is-rippi.aspx 

 

The Street

http://www.thestreet.com/story/13496166/1/how-many-bad-brokers-could-there-be-don-t-play-the-percentages.html 

http://www.thestreet.com/story/13487841/1/is-a-skeleton-lurking-in-your-financial-advisor-s-closet.html 

 

Think Advisor

http://www.thinkadvisor.com/2016/03/28/advisor-misconduct-how-widespread 

http://www.thinkadvisor.com/2016/03/08/extraordinary-study-reveals-widespread-broker-misc 

 

Tropical Saloon

http://tropicalsaloon.com/news/your-money-is-your-stockbroker-troubled-heres-one-particular-way-to-locate-out/ 

 

Ulmer & Berne

http://www.bdlawcorner.com/2016/03/a-miscellany-of-finra-issues-a-little-too-big-to-call-nitpicking/  

 

Value Walk

http://www.valuewalk.com/2016/02/financial-adviser-misconduct/ 

 

Vox

http://www.vox.com/2016/3/4/11157642/unscrupulous-financial-advisers-elderly 

 

Wall Street On Parade

http://wallstreetonparade.com/2016/03/this-one-photo-captures-why-americans-cant-win-against-wall-street/ 

http://wallstreetonparade.com/2016/03/theft-of-your-money-on-wall-street-another-gao-report-wont-help/ 

 

Watertown Daily Times

http://www.watertowndailytimes.com/curr/a-lesson-in-scottie-pippens-big-mistake-20160403 

 

WealthManagement

http://wealthmanagement.com/blog/almost-half-advisors-fired-misconduct-rehired 

 

Wealthy Retirement

http://wealthyretirement.com/wall-street-brokers-even-worse-than-i-thought/ 

 

WKYC (NBC Cleveland, OH)

http://www.wkyc.com/news/nation-now/is-your-financial-adviser-ripping-you-off/90189633 

 

Wolf Street

http://wolfstreet.com/2016/03/30/ever-checked-out-your-advisers-disciplinary-record/ 

 

Wolters Kluwer

http://www.dailyreportingsuite.com/securities/news/senators_grill_regulators_about_consolidated_audit_trail_and_industry_misconduct 

 

WPTZ (NBC New York, NY)

http://www.wptz.com/money/how-can-you-find-an-honest-financial-adviser/39001428 

 

WUSA 9 (CBS Washington, DC)

http://www.wusa9.com/news/nation-now/is-your-financial-adviser-ripping-you-off/90189287 

 

Yahoo Finance

http://finance.yahoo.com/news/wolves-wall-street-everywhere-175436963.html 

http://finance.yahoo.com/news/study-confirms-worst-suspicions-financial-144105335.html 

 

Your Tax Freedom

http://yourtaxfreedom.com/is-your-financial-adviser-ripping-you-off/ 

 

Zen Investor

http://www.zeninvestor.org/study-some-20-of-financial-advisers-cited-for-misconduct/

Press: Major Outlets

Bloomberg:

http://www.bloombergview.com/articles/2016-03-02/broker-misconduct-is-worse-than-we-thought

http://www.bloomberg.com/news/articles/2016-03-01/it-just-got-even-harder-to-trust-financial-advisers 

http://www.bloomberg.com/gadfly/articles/2016-03-08/calling-for-better-financial-advisers 

http://www.bloombergview.com/articles/2016-03-01/holdouts-inquiries-routers-and-hats 

 

CBS:

http://www.cbsnews.com/news/did-you-check-your-advisors-history-heres-why-you-should/ 

 

Chicago Tribune:

http://www.chicagotribune.com/business/ct-personal-finance-financial-advisers-20160301-story.html 

 

CNBC:

http://www.cnbc.com/2016/03/02/financial-advisors-misconduct-re-hired.html

 

CNN Money:

http://money.cnn.com/2016/04/13/retirement/honest-financial-adviser/

 

The Economist:

http://www.economist.com/news/finance-and-economics/21693975-americas-revolving-door-financial-advisers-who-do-down-their-clients-rotten

 

Financial Times:

http://www.ft.com/intl/cms/s/2/5e1b3e04-cb41-11e5-a8ef-ea66e967dd44.html#axzz45eNetZ00 

http://ftalphaville.ft.com/2016/03/01/2154793/the-financial-adviser-scammers/

 

Forbes:

http://www.forbes.com/sites/carolynrosenblatt/2016/03/15/hidden-risks-with-your-aging-parents-broker/#130a4c9d3ea0

 

Le Monde

http://www.lemonde.fr/economie/article/2016/04/12/lettre-de-wall-street-et-les-plus-malhonnetes-sont_4900251_3234.html 

 

New York Times:

http://www.nytimes.com/2016/04/09/your-money/is-your-stockbroker-troubled-heres-one-way-to-find-out.html?_r=0

 

PBS

http://www.pbs.org/wgbh/frontline/article/does-your-financial-advisor-have-a-fraud-record/ 

 

Washington Post:

https://www.washingtonpost.com/news/monkey-cage/wp/2016/03/02/hold-this-is-how-unethical-financial-advisers-can-get-away-with-it/ 

https://www.washingtonpost.com/news/get-there/wp/2016/03/23/scottie-pippen-was-scammed-by-his-adviser-how-to-learn-from-his-experience/

https://www.washingtonpost.com/news/wonk/wp/2016/03/07/beware-of-your-financial-adviser/ 

https://www.washingtonpost.com/news/get-there/wp/2016/03/02/why-you-should-second-guess-your-financial-adviser/

 

Wall Street Journal:

http://www.wsj.com/articles/is-your-broker-good-or-bad-1461342875

http://www.wsj.com/articles/tracking-financial-adviser-misconduct-a-new-database-1456786017

http://www.wsj.com/articles/brokerages-with-checkered-past-to-face-new-disclosure-focus-finra-ceo-says-1462308550

 

Press: Other Outlets 

 

13 News Now (ABC Norfolk, VA)

http://www.13newsnow.com/money/personal-finance/is-your-financial-adviser-ripping-you-off/90189592

 

5 On Your Side (NBC St. Louis, MO)

http://www.ksdk.com/news/nation-now/is-your-financial-adviser-ripping-you-off/90189469 

 

AdvisorHub

http://advisorhub.com/wells-ubs-opco-named-in-scathing-report-on-broker-misconduct/ 

 

Aktuálně.cz

http://blog.aktualne.cz/blogy/boris-tomciak.php?itemid=27137

 

American Association of Individual Investors

http://www.aaii.com/journal/article/advisers-with-records-of-misconduct-often-rehired

 

Beck Capital Management

http://beckcapitalmgmt.com/uncategorized/new-study-emphasizes-importance-of-conducting-background-check-on-financial-advisor/ 

 

Better Markets

https://www.bettermarkets.com/newsroom/financial-reform-newsletter-march-10-2016 

 

Block & Landsman

http://block-landsman.com/broker-fraud-safe-investments/ 

 

Business Insider

http://www.businessinsider.com/financial-adviser-misconduct-study-2016-3 

http://www.businessinsider.sg/financial-advisor-insights-march-3-2016-3/#.VxU12ZwrKUk 

 

Cadwalader Cabinet

https://www.findknowdo.com/news/03/04/2016/scholars-investigate-misconduct-financial-adviser-space 

 

Cedar Stone Advisors

http://cedarstoneadvisors.com/can-i-trust-my-financial-advisor/ 

 

Chicago Booth Capital Ideas

http://chicagobooth.edu/capideas/blog/2016/february/does-your-financial-adviser-specialize-in-misconduct 

 

Chicago Daily Herald 

http://www.dailyherald.com/article/20160327/business/160329187/ 

 

City A.M.

http://www.cityam.com/236199/why-you-cant-trust-your-financial-adviser 

 

Consumer Reports

http://www.consumerreports.org/personal-finance/why-your-financial-adviser-may-not-be-trustworthy/ 

 

Credit.com

http://blog.credit.com/2016/03/how-to-do-a-background-check-on-your-financial-adviser-139158/ 

 

CT Post

http://www.ctpost.com/technology/businessinsider/article/The-Wolves-of-Wall-Street-are-everywhere-6863667.php 

 

Deseret News

http://www.deseretnews.com/article/865649312/At-least-7-percent-of-financial-advisers-have-committed-fraud-Has-yours.html?pg=all 

 

Dividend Reference

http://dividendreference.com/articles/2016/1002627/reason-387-to-avoid-financial-advisors/ 

 

Eccleston Law

http://www.ecclestonlaw.com/eccleston-law-blog/new-study-casts-doubt-on-the-financial-advising-industry 

 

El Confidencial

http://www.elconfidencial.com/alma-corazon-vida/2016-03-21/formulas-timo-verdaderos-lobos-wall-street-sector-financiero-firmas-tolerantes-fraude-mala-praxis-jordan-belfort_1162098/ 

 

Elder Resource Center

http://erg.care/2016/03/16/financial-elder-abuse/ 

 

EurekAlert

http://www.eurekalert.org/pub_releases/2016-03/uocb-dyf030116.php 

 

eWallstreeter

http://ewallstreeter.com/financial-adviser-misconduct-are-reemployed-in-financial-services-industry-within-a-year-other-scary-stats-10728/ 

 

Financial Advisor

http://www.fa-mag.com/news/it-just-got-even-harder-to-trust-financial-advisors-25449.html 

http://www.fa-mag.com/news/broker-misconduct-is-worse-than-we-thought-25476.html?section=3 

 

Financial Advisor IQ

https://financialadvisoriq.com/c/1308253/147443 

http://financialadvisoriq.com/c/1304963/147413/half_fired_misconduct_rehired_year?referrer_module=topicBox&module_order=8 

 

Fonds Nieuws

http://www.fondsnieuws.nl/nieuws/een-slechte-adviseur-blijft-vaak-een-slechte-adviseur 

 

Funny About Money

http://funny-about-money.com/check-up-on-your-financial-adviser/ 

 

Greenwich Time

http://www.greenwichtime.com/technology/businessinsider/article/The-Wolves-of-Wall-Street-are-everywhere-6863667.php 

 

International Adviser

http://www.international-adviser.com/news/1027957/scale-us-financial-adviser-misconduct-revealed 

 

International Business Times

http://www.ibtimes.com/savers-beware-study-names-10-firms-highest-rates-financial-adviser-misconduct-2327411 

 

Investment Executive

http://www.investmentexecutive.com/-/research-finds-prevalence-of-advisor-misconduct-in-the-u-s- 

 

Investment News

http://www.investmentnews.com/article/20160313/FREE/303139999/weeding-out-rogue-brokers 

http://www.investmentnews.com/article/20160303/FREE/160309966/wall-st-critic-warren-grills-finras-ketchum-on-regulators-ability-to 

 

Investment U

http://www.investmentu.com/article/detail/50059/chart-10-financial-firms-with-highest-broker-misconduct#.Vw1IDZwrKUk 

 

Investopedia

http://www.investopedia.com/articles/financial-advisors/031716/disciplined-advisors-find-new-jobs-fast-how-avoid-them.asp# 

 

Investor’s Business Daily

http://www.investors.com/news/management/financial-advisor-briefing/does-your-financial-advisory-firm-keep-rule-breakers-on-staff/ 

 

IOL

http://www.iol.co.za/business/international/is-there-reason-to-be-wary-of-financial-advisers-1992912 

 

KITCES

https://www.kitces.com/blog/finra-brokercheck-market-for-financial-adviser-misconduct-study-on-brokers/ 

 

Knoxville News Sentinel

http://www.knoxnews.com/business/columnists/david-moon/is-that-a-financial-adviser-or-a-salesman-2db3de06-95b1-5f8c-e053-0100007f150a-371709631.html 

 

Law 360

http://www.law360.com/articles/766280/bad-boy-broker-study-shines-light-for-regulators-to-follow 

 

Law Offices of Jonathan W. Evans

http://www.stocklaw.com/Securities-Fraud-Blog/2016/March/7-of-Financial-Advisers-Industry-Wide-Cited-for-.aspx 

 

Law Offices of Marc I. Zussman

http://www.zussmansecuritieslaw.com/blog/2016/03/check-up-on-your-financial-adviser-you-might-be-surprised.shtml 

 

Law Professor Blogs Network

http://lawprofessors.typepad.com/trusts_estates_prof/2016/03/broker-misconduct-is-a-growing-issue-with-elderly-clients.html 

 

Law Street

http://lawstreetmedia.com/blogs/culture-blog/trust-financial-advisers/ 

 

Legacy Care Planning

http://www.legacycareplanning.com/blog/2016/4/9/unscrupulous-advisers-targeting-the-elderly 

 

LesEchos

http://www.lesechos.fr/finance-marches/marches-financiers/021734990148-wall-street-recycle-ses-mauvais-elements-1203949.php 

 

Lexology

http://www.lexology.com/library/detail.aspx?g=0dcf7da9-c2a5-4d9f-b6ba-2c75d8a693f3 

 

Mancell Financial Group

http://www.mfg.com.au/blog/adviser-trust-long-way-go-everywhere/ 

 

Meyer Wilson

http://www.investorclaims.com/Blog/2016/March/Roughly-20-of-Oppenheimer-Advisers-Cited-for-Mis.aspx 

 

MGH Financial Planners

http://mghfp.com.au/index.php/news-blog/282-adviser-trust-a-long-way-to-go-everywhere 

 

Minneapolis/St. Paul Business Journal

http://www.bizjournals.com/twincities/morning_roundup/2016/03/study-some-financial-advisers-specialize-in.html 

 

Money

http://time.com/money/4243728/financial-advisors-study/ 

 

MoneyTalks News

http://www.moneytalksnews.com/another-reason-take-hard-look-your-financial-adviser/ 

 

Mononews

http://www.mononews.gr/liki-tis-wall-street-ine-pantou/28191 

 

Moon Capital Management

http://www.mooncap.com/adviser-regs-allow-misconduct/ 

 

Morning Consult

https://morningconsult.com/alert/25618/

 

Morning Consult

https://morningconsult.com/alert/sen-warren-grills-finra-chief-on-investment-advisor-misconduct/ 

 

Morningstar Advisor

http://www.morningstar.com/advisor/t/113836965/study-some-20-of-oppenheimer-financial-advisers-cited-for-misconduct.htm 

 

Motley Fool

http://www.fool.com/investing/general/2016/03/20/surprise-theres-a-new-bank-atop-the-latest-brand-l.aspx 

 

NAOI Investment Research Center

http://naoi.org/blog/2016/3/5/the-market-for-financial-advisor-misconduct 

 

NASDAQ

http://www.nasdaq.com/article/kitces-rogue-brokers-still-not-being-reined-in-cm597305 

 

NASDAQ

http://www.nasdaq.com/article/trusting-advisors-just-got-harder-cm587856 

http://www.nasdaq.com/article/study-some-20-of-financial-advisers-cited-for-misconduct-cm587686 

 

National Ethics Association

https://www.ethics.net/a/financial-advisors-behaving-badly-turning-lemons-into-lemonade 

 

New York Securities Lawyers Blog

http://www.newyorksecuritieslawyersblog.com/2016/03/new-study-reveals-7-financial-advisers-guilty-misconduct-safe.html 

 

NewsOK

http://newsok.com/article/5483791 

 

Newswise

http://www.newswise.com/articles/does-your-financial-adviser-specialize-in-misconduct 

 

Oblivious Investor

http://www.obliviousinvestor.com/investing-blog-roundup-advisor-misconduct-its-not-rare/ 

 

oPojištění

http://www.opojisteni.cz/tema/americti-poradci-pod-drobnohledem-etika-vs-kvalita/ 

 

Paladin

http://blog.paladinregistry.com/advisors-2/f-word-fiduciary-standard-of-care/ 

 

Patrina

http://patrina.com/blog/are-financial-advisors-really-less-trustworthy-than-uber-drivers/ 

 

Physician’s Money Digest

http://www.hcplive.com/physicians-money-digest/columns/my-money-md/03-2016/black-sheep-brokers 

 

Pittsburgh Post-Gazette

http://www.post-gazette.com/business/money/2016/03/14/Len-Boselovic-s-Heard-off-the-Street-Study-7-percent-of-advisers-have-misconduct-records-1/stories/201603140028 

 

Place and Hanley

http://placeandhanley.com/2016/03/study-shows-7-of-financial-advisors-are-disciplined-for-misconduct/ 

 

Planadvisor

http://www.planadviser.com/Many-Advisers-With-Misconduct-Records-Are-Reemployed/ 

 

PR Newswire

http://www.prnewswire.com/news-releases/mark-a-tepper-law-firm-welcomes-new-rules-to-protect-americans-saving-for-retirement-300251763.html 

 

Press Reader/Albuquerque Journal

http://www.pressreader.com/usa/albuquerque-journal/20160406/281840052817930 

 

Pro Market (Stigler Center Blog)

https://promarket.org/is-fraud-in-the-financial-sector-a-bug-or-a-feature/ 

 

Prudent Money

http://www.prudentmoney.com/does-your-advisor-have-a-record-and-you-dont-know-it/ 

 

Quartz

http://qz.com/627762/a-new-study-confirms-your-worst-suspicions-financial-firms-prey-on-unsophisticated-consumers/ 

http://qz.com/638603/sorry-senator-warren-your-plan-wont-fix-financial-advisors/ 

 

Real Business

http://realbusiness.co.uk/article/33513-financial-advisers-who-engage-in-misconduct-often-get-to-keep-their-jobs 

 

Rendero Actueel

http://www.renderoactueel.com/content/index.php/editie-zuidoost-drenthe/assurantien-pensioen/10777/vlek 

 

Science Daily

https://www.sciencedaily.com/releases/2016/03/160301131440.htm 

 

Seeking Alpha

http://seekingalpha.com/article/3950756-study-7-percent-financial-advisers-cited-misconduct 

http://seekingalpha.com/article/3952186-many-20-percent-advisors-firms-crooks-financial-advisors-daily-digest 

 

Sierra Sun

http://www.sierrasun.com/news/business/21365000-113/tahoe-market-pulse-new-rules-to-protect-investors 

 

SIFMA

http://www.sifma.org/members/hearings.aspx?id=8589959106 

 

St. Louis Post-Dispatch

http://www.stltoday.com/business/local/beware-of-your-financial-adviser/article_9a11616d-f43e-567a-a934-199d28c9cbe2.html 

http://www.stltoday.com/business/columns/david-nicklaus/nicklaus-study-sparks-debate-over-broker-misconduct/article_9f62cd4b-f085-5d42-9394-694911c8d5d5.html 

 

Star Tribune

http://www.startribune.com/many-brokers-stay-on-the-job-despite-complaints/375565201/ 

 

Stockbroker Fraud Blog

http://www.stockbrokerfraudblog.com/2016/03/study_accuses_nearly_20_of_opp.html 

 

Susan Antilla

http://susanantilla.com/tag/the-market-for-financial-adviser-misconduct/ 

 

Tampa Bay Times

http://www.tampabay.com/news/business/banking/new-study-ranks-raymond-james-among-top-ten-firms-for-financial-adviser/2267704 

 

TechEdge

http://techedgellc.com/how-will-social-pressures-spotlight-leadership-trust-crisis/ 

 

The Atlantic

http://www.theatlantic.com/business/archive/2016/03/financial-advisors-finra-warren/472191/ 

 

The Cogent Advisor

http://www.thecogentadvisor.com/blog/2016/04/the-company-you-keep-the-advice-you-accept/ 

 

The Fiscal Times

http://www.thefiscaltimes.com/2016/03/04/10-Financial-Companies-Need-Win-Back-Your-Trust 

 

The Guiliano Law Firm

https://securitiesarbitrations.com/investors-beware-the-trillion-dollar-cost-of-investment-fraud/ 

 

The Irrelevant Investor

http://theirrelevantinvestor.com/2016/03/01/misconduct/ 

 

The Motely Fool

http://www.fool.com/investing/general/2016/03/09/surprise-theres-a-good-chance-your-broker-is-rippi.aspx 

 

The Street

http://www.thestreet.com/story/13496166/1/how-many-bad-brokers-could-there-be-don-t-play-the-percentages.html 

http://www.thestreet.com/story/13487841/1/is-a-skeleton-lurking-in-your-financial-advisor-s-closet.html 

 

Think Advisor

http://www.thinkadvisor.com/2016/03/28/advisor-misconduct-how-widespread 

http://www.thinkadvisor.com/2016/03/08/extraordinary-study-reveals-widespread-broker-misc 

 

Tropical Saloon

http://tropicalsaloon.com/news/your-money-is-your-stockbroker-troubled-heres-one-particular-way-to-locate-out/ 

 

Ulmer & Berne

http://www.bdlawcorner.com/2016/03/a-miscellany-of-finra-issues-a-little-too-big-to-call-nitpicking/  

 

Value Walk

http://www.valuewalk.com/2016/02/financial-adviser-misconduct/ 

 

Vox

http://www.vox.com/2016/3/4/11157642/unscrupulous-financial-advisers-elderly 

 

Wall Street On Parade

http://wallstreetonparade.com/2016/03/this-one-photo-captures-why-americans-cant-win-against-wall-street/ 

http://wallstreetonparade.com/2016/03/theft-of-your-money-on-wall-street-another-gao-report-wont-help/ 

 

Watertown Daily Times

http://www.watertowndailytimes.com/curr/a-lesson-in-scottie-pippens-big-mistake-20160403 

 

WealthManagement

http://wealthmanagement.com/blog/almost-half-advisors-fired-misconduct-rehired 

 

Wealthy Retirement

http://wealthyretirement.com/wall-street-brokers-even-worse-than-i-thought/ 

 

WKYC (NBC Cleveland, OH)

http://www.wkyc.com/news/nation-now/is-your-financial-adviser-ripping-you-off/90189633 

 

Wolf Street

http://wolfstreet.com/2016/03/30/ever-checked-out-your-advisers-disciplinary-record/ 

 

Wolters Kluwer

http://www.dailyreportingsuite.com/securities/news/senators_grill_regulators_about_consolidated_audit_trail_and_industry_misconduct 

 

WPTZ (NBC New York, NY)

http://www.wptz.com/money/how-can-you-find-an-honest-financial-adviser/39001428 

 

WUSA 9 (CBS Washington, DC)

http://www.wusa9.com/news/nation-now/is-your-financial-adviser-ripping-you-off/90189287 

 

Yahoo Finance

http://finance.yahoo.com/news/wolves-wall-street-everywhere-175436963.html 

http://finance.yahoo.com/news/study-confirms-worst-suspicions-financial-144105335.html 

 

Your Tax Freedom

http://yourtaxfreedom.com/is-your-financial-adviser-ripping-you-off/ 

 

Zen Investor

http://www.zeninvestor.org/study-some-20-of-financial-advisers-cited-for-misconduct/