Sara Hansard And Jed Horowitz

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NEWS INDUSTRY NEWS JAN 03, 2010
Texas adviser used former NFL players to promote scheme, the SEC charges

An investment adviser has been charged with defrauding investors in a scheme that used former National Football League players to promote offerings in an insurance company.

NEWS REGULATION AND LEGISLATION SEP 27, 2009
Fiduciary issue likely to land in SEC's lap

Although a House Financial Services subcommittee plans to discuss adviser issues at a hearing on Oct. 6, it's unlikely Congress will debate the fine points of adopting a fiduciary standard for all financial advisers.