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Banking

Oct. 23, 2009

Arresting Adviser Fraud

James E. 'Kimo' McCormick of Allen Matkins questions whether new regulations will reform the financial services industry.

FINANCE

By James E. 'Kimo' McCormick

The level of interest and activity in Congress to reform and improve the financial services industry will inevitably lead to changes in the law as its relates to investment advisers and broaden the scope of regulation to prevent adviser fraud. While most investment advisers are professional and ethical, the Madoff and Stanford scandals and other recent Ponzi schemes have been a major embarrassment to the financial s...

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