Atlanta to Seek Funds Lost to Investment Scheme
- Beware The Rogue! Ruth, Jim // Advisor Today;Sep2000, Vol. 95 Issue 9, p22
Provides tips on how to evaluate a bogus investment deal. Characteristics of an ideal financial advisor; Profile of a rogue; Element that separate a legitimate professional financial advisor from a rogue.
- Elizabeth Coyle: Safeguarding vulnerable clients from scams and misselling. Coyle, Elizabeth // Money Marketing (Online Edition);5/28/2015, p1
The article offers the author's insights about the things financial advisors in Great Britain should consider to protect vulnerable clients from scams and misselling.
- Two IFAs jailed for pension fraud. // Money Marketing;3/6/2003, p7
Reports that independent financial advisers have been jailed for pension fraud in Great Britain.
- Marsh's expertise could aid Putnam. Winston, Paul // Business Insurance;11/10/2003, Vol. 37 Issue 45, p6
The article focuses that companies today must be more wary of the risks associated with public perceptions of inappropriate behavior, self-dealing or, worse, covering up any such activities. Last month, Putnam Investments Inc., a unit of Marsh & McLennan Cos. Inc., was affected by securities...
- If it sounds too good... Hayden, Vern C. // Westchester County Business Journal;4/2/2012, Vol. 48 Issue 14, p4
The author discusses tips to avoid financial scams in investment business which include checking people via Google and USSearch.com to avoid what he calls affinity fraud, never deal a check to an investment adviser, and verifying performance numbers of the investment.
- Managing Alternatives. Myers, Glenn A. // Financial Planning;Jan2007, Vol. 37 Issue 1, p26
The article offers tips for clients on what to consider and what to avoid when selecting alternative investment managers. Transparency in the positions and trades of the firm is important, as well as the clarity of growth plans, disaster recovery and management contingency plans. Fraud and cozy...
- Adviser is jailed over Â£478,000 investments fraud. MACDONALD, SAM // Money Marketing;6/5/2014, Issue 1440, p16
The article reports that financial adviser Mark Lewis was jailed for six years and five months after defrauding clients out of Â£478,000 in a solar panel and property scheme investments.
- Â£2m scam sees IFA jailed for four years. Smith, Andrew // Money Marketing;5/11/2006, p7
The article reports that Bristol, England-based independent financial adviser Michael Summers has been sentenced to four years of imprisonment for tricking investors out of more than Â£2 million. Summers persuaded 18 clients to invest in a pyramid or Ponzi scheme called Secure Investment...
- Ex-Adviser faces jail over $9m fraud. O'DONOGHUE, NICHOLAS // Money Management;12/11/2014, Vol. 28 Issue 36, p10
The article reports that Thanh Quoc Tu, a former financial adviser of Patersons Securities Ltd. in Brisbane, is facing a 12 years in jail as he found to have mislead 18 clients to invest around nine million dollar.