Top 50 Forensic Accounting Blogs #corporate #governance, #corporate #monitors, #forensic #accounting, #fraud, #fraud #law, #internal


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Top 50 Forensic Accounting Blogs

Written by L.G. at 09:00:am on 15th December, 2010

The list of the top 50 forensic accounting blogs below shows the wide range of jobs in forensic accounting. Investigation is key, along with dissemination of information, law and governance in maintaining financial security for investors, home owners, employees and tax payers. Finding fraud can be fun, and considering this list includes just a few of the hundreds of forensic sites on the Internet a possibly lucrative field.

Forensic Investigation

  1. Asset Search Blog. Fred Abrams located tens of millions of dollars hidden in offshore tax havens and filed legal proceedings worldwide to seek discovery from foreign bank witnesses.
  2. Control Freak. This blog focuses on the details of government fraud, risk, whistle-blowing and much more.
  3. Forensic Accounting Services Blog. Stephen Pedneault specializes only in forensic accounting, employee fraud and litigation support matters.
  4. Forensic Focus Blog. Thoughts and musings on computer forensics from Forensic Focus.
  5. Going Concern. Accounting news for accountants and CFOs that includes news about fraud and the Big 4.
  6. Professor Fraud. William Kresse, associate professor at the Graham School of Management of Saint Xavier University, is a CPA (Certified in Financial Forensics), an attorney, and a Certified Fraud Examiner.
  7. re: The Auditors. Francine McKenna has more than twenty years of experience in consulting and professional services including tenure at two Big 4 firms, both in the US and abroad.
  8. The Accounting Onion. Tom Selling peels away financial reporting issues one layer at a time.
  9. The Financial Investigator. Investigative reporter Roddy Boyd reports on financial and operational prospects of publicly-traded corporations.
  10. The Fraud Files Blog. Sequence Inc. is led by Tracy L. Coenen, CPA, CFF, who has more than 16 years of experience in accounting and investigations.
  11. The Fraud Guy. John Hanson, CPA, CFE, CCEP offers his take on fraud, corporate internal investigations and corporate monitors.

White Collar Crime

  1. Banking Horror Stories. The owner of a mortgage fraud investigation company shares his clients stories about banks.
  2. Conorix. This site is about mortgage and mortgage backed securities (MBS) fraud, including the lawyers that facilitate them.
  3. Fraud Talk. This blog is intended for attorneys, law enforcement, investigators, regulators and others interested in white collar fraud trends, enforcement and prevention.
  4. Sleight of Hand. Nadine Sebai teaches readers about white collar crime, fraud, business ethics and legal psychology.
  5. The 10b-5 Daily. News and events related to securities class action litigation.
  6. The Daily Caveat. Breaking news on corruption, corporate fraud, white collar crime and investigative research.
  7. White Collar Crime News. A criminal defense attorney in New Jersey focuses on white collar crime.
  8. White Collar Crime Prof Blog. Ellen S. Podgor, professor of law at Stetson University College of Law, maintains this blog.
  9. White Collar Fraud. A convicted felon, former CPA, and former criminal CFO of Crazy Eddie advises law, professionals and businesses on how to identify fraud.

Corporate Governance

  1. 10Q Detective. Analyst David Phillips takes on 8-K and 10-Q SEC filings to find soft spots that may materially impact quality of earnings.
  2. Boom Bust Blog. Reggie Middleton is an entrepreneurial investor who guides a small team of independent analysts to uncover truths seldom published in the mainstream media or Wall Street analysts reports.
  3. FEI Financial Reporting Blog. Financial Executives International is the preeminent association for CFOs and other senior finance executives.
  4. Footnoted. Footnoted is very focused on the stuff that companies try to bury in their routine SEC filings.
  5. Fraudbytes.. An accounting professor and a doctoral student report news about financial statement fraud and corporate governance.
  6. International Corporate Governance. Allison Garrett is the Senior VP of Academic Affairs at Oklahoma Christian University and a former law professor and former VP and General Counsel of Wal-Mart s Corporate Division.
  7. SEC Action. This blog covers SEC investigations, civil and criminal enforcement actions, class actions and internal investigations.
  8. The Corporate Library Blog. The Corporate Library is the leading independent source for corporate governance research and risk analysis.
  9. The Harvard Law School Forum on Corporate Governance and Financial Regulation. This blog provides the latest insights into corporate oversight, provided by faculty, fellows, guest contributors and the program advisory board.
  10. The Race to the Bottom. The focus of this blog is to provide a forum for discussing methods to improve corporate governance processes.

In the Public Interest

  1. Acrimoney. Norb Vonnegut s posts are non-fiction and describe the culture of finance, with original and sometimes irreverent commentary about people who manage money or affect it through their political power.
  2. Citron Research. Looking along Wall Street for the lemons.
  3. CyberHood Watch. The CyberHood Watch is an online digital community of responsible cybercitizens trying to maintain a safe online life-style.
  4. Don t Mess with Taxes. Don t Mess With Taxes aims to keep Uncle Sam cranky by providing tax and personal finance tips and advice that will put more money in your bank account, not the government treasury.
  5. Investor s Watchdog. From boiler rooms to investment firms, learn more about the war on fraud.
  6. Lies, damned lies and statistics. Learn about consumer behavior, social media and advertising stats.
  7. MediaCitizen. Timothy Karr is the campaign director of Free Press and the SavetheInternet.com Coalition.
  8. Pro Publica. ProPublica is an independent, non-profit newsroom that produces investigative journalism in the public interest. ProPublica was a recipient of the 2010 Pulitzer Prize in Investigative Reporting
  9. ShareSleuth. Sharesleuth.com is an independent Web-based reporting aimed at exposing securities fraud and corporate chicanery.
  10. Street Sweeper. This investigative site uncovers the dirty little secrets that investors need to know.

Financial Fraud Law

  1. Expert Witness Blog. Formed by a group of practicing attorneys, JurisPro Inc. is a professional marketing company that maintains a free online directory of expert witnesses for the legal community.
  2. Financial Fraud Law. A one-stop resource for the legal issues involving financial fraud.
  3. Investment Fraud Lawyer Blog. Page Perry, LLC has developed special expertise and recognition in the area of fraud and breach of fiduciary duty disputes.
  4. MauledAgain. Prof. James Edward Maule s commentary on tax law, legal education, the First Amendment, religion and law.
  5. Securities Fraud Blog. Learn if your broker is liable for your losses.
  6. Securities Law Blog. Issues, news and commentary on the law of the financial markets.
  7. Securities Law Prof Blog. Barbara Black, Charles Hartsock Professor of Law at University of Cincinnati College of Law, presents this blog.
  8. Stockbroker Fraud Blog. Shepherd, Smith, Edward Kantas know the ins and outs of stockbroker conduct and law.
  9. Tax Fraud Blog. Phillips Cohen LLP, a law firm that represents whistleblowers with information about tax law violations as well as those with information about securities law violations.
  10. Truth on the Market. Academic commentary on law, business, economics and other financial topics.

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Ventura Wealth Management – Investment Advisor – Ewing, New Jersey #securities, #invest, #sec, #investors, #financial,


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Ventura Wealth Management – Ewing, New Jersey (NVWM, LLC)

The SEC Form ADV organizes client types into 13 categories. Ventura Wealth Management reports working with 5 of these 13 client types. The firm reports serving a total of 500 clients and 100 financial planning clients .

If you’re looking for a particular type of Advisor, you can click the button below and use the filters to select a list a Investment Advisors based on types of clients served .

Select Investment Advisors by
types of clients >>

Activities and Fees

Areas of Business

Advisory Activities and Services:

  • Financial Planning
  • Individuals or Small Businesses
  • Pension Consulting
  • Security Portfolios

Other Advisory Services: No

Compensation

  • Percentage of assets
  • Hourly charges
  • Fixed fees

Other Fee Types: No

Click here to select Investment Advisors based on types of fees charged

Employees

By Category

Total Number of Employees

Investment Adviser Representatives

Licensed Insurance Agents

Broker-Dealer Registered Reps

Representatives at Ventura Wealth Management

Financial Exams Passed

Series 10 (FINRA), Series 31 (FINRA), Series 5, Series 63 (NASAA), Series 65 – (NASAA), Series 7 (FINRA), Series 9 (FINRA)

Series 3 (NFA), Series 63 (NASAA), Series 65 – (NASAA), Series 7 (FINRA)

Series 24 (FINRA), Series 51 (MSRB), Series 63 (NASAA), Series 66 – (NASAA), Series 7 (FINRA)

Series 66 – (NASAA), Series 7 (FINRA)

Series 66 – (NASAA)

The largest firm in our database has 39,343 employees. Other firms report having no employees at all. On the Investment Advisors homepage you can sort and filter firms by number of employees. or select other advanced criteria.

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number of employees >>

Disclosures

Public Disclosure Statements as Reported on Form ADV

The SEC keeps track of disclosures for the 24 categories listed below. With zero reported disclosures, Ventura Wealth Management has a perfect record. On the research topic home page you can view a pre-sorted list of all investment advisory firms with zero disclosures .

False Statements or Omissions to SEC or CFTC

SEC or CFTC Violations

Business Suspensions, Restrictions, or Revocations

SEC or CFTC Entered an Order Against Advisor

Civil Money Penalty or Cease and Desist Orders

False Statements or Omissions to Other Regulator

Violations of Regulations or Statutes

Enjoinments with Domestic or Foreign Courts

Restrictions or Denials of Business

Violations of Investment-Related Statutes

Regulator Entered Orders Against Advisor

Civil Action Dismissed by a Settlement Agreement

Denials or Suspensions of Registration

Subject to Any Civil Proceeding

False Statements or Omissions to Self-Reg. Org

Violation of Regulatory Rules

Associated with Any Business Suspensions

Any Professional Authorization Revoked

Membership Suspensions or Expulsions

Subject to Any Regulatory Proceeding

Contact Info

Principal Office

Main Office Phone

Main Office Fax

Main Office Address

200 Princeton South Corporate Center

Ewing, New Jersey 08628

Still searching for the right advisor? Try the Investment Advisors homepage, where you can sort and filter 40,118 Registered Investment Advisors by fee type, advisory services, location and more. You can click the button below to view all Advisors in New Jersey. or set the filter for more advanced specific criteria.

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References

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Securities Fraud Attorney – Stockbroker Fraud Lawyer – Investment Fraud Attorney – Serving the USA


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Nationwide Securities Fraud – Stockbroker Fraud – Investment Fraud Attorney

Our securities fraud attorneys and staff have more than 100 years of combined experience in the securities industry and in securities law. Several of our firm’s attorneys served as a vice president or as compliance officers of one or more major brokerage firms. Our experienced team is devoted to assisting institutional and individual investors nationwide to recover losses caused by the inappropriate actions of investment advisors and their firms. We offer a free consultation to those who contact us through our Website. Se habla espa ol. We have extensive experience representing investors outside the United States with claims against U.S. based investment firms.

Daily Headlines: “Wall Street Fraud!”Millions of Investors Have Lost Their Life Savings and Retirement Assets!

Yet, property invested, any losses would have been small. Many investors’ lives were destroyed because brokerage firms lied to their clients (and brokers) or other misconduct or negligence by the firm or broker. It is wrong when life savings are lost through unsuitable high risk stocks, options, mutual funds – or even annuities or bonds! Margin borrowing often made the losses even greater. Some brokers and firms now blame investors for their own losses. Don’t be fooled by these tactics!

If you feel you may be a victim of Wall Street fraud or negligence contact our securities lawyers for a free consultation .

What is Broker Fraud?

“Broker fraud ” includes theft, lying and deceit, but it also includes other types of wrongdoing, such as churning, unauthorized transactions, unsuitable investments and other acts of greed, incompetence and negligence by stockbrokers, financial planners, and others in the securities industry. Learn more about common forms of broker misconduct .

There are regulations and laws written to protect investors. Securities regulators “police” the securities industry and issue fines and suspensions. To recover their losses investors must file claims for recovery. Statistics demonstrate that they are far more likely to recover if they are represented by experienced securities fraud lawyers. Since investors sign account documents at brokerage firms which almost always contain binding arbitration clauses, most claims against brokerage firms must be resolved in securities arbitration instead of court. Learn more about securities arbitration .

Securities Fraud Attorneys

Our primary goal is to represent investors who have lost their savings and retirement when their brokerage accounts were mishandled. Our securities fraud attorneys have represented thousands of clients nationwide who were victims of misrepresentations, commission churning, unsuitable investments, unauthorized transactions, execution failures, excessive mark-ups, disappearing funds, botched transfers, web-broker outages, “selling away” from firms, unregistered brokers, unregistered securities, improper margin liquidations, broker bribes, fraudulent research, “boiler room” sales practices and other wrongful acts. Those cases were concerning stocks, bonds, “penny” stocks, “junk” bonds, options, warrants, commodities, mutual funds, REIT’s, limited partnerships, derivative securities and other investments. We have also handled other types of cases for investors and minority shareholders. More about our firm .

Check out your stockbroker from our list of recent NASD enforcement actions. Click here to learn why the SEC doesn’t help defrauded investors and why you need to hire a securities lawyer to help you recover your losses.

Click here to learn about common mistakes that investors make when interacting with brokers after they suspect something is wrong.

Click here if you want to know how retirees are targets for unethical money managers. Here is some information about annuities. a prime investment product sold by stockbrokers in recent years partly because of the large commissions the sales generate.

Financial Representative Misconduct: Rep. Who Didn’t Disclose $100M in EB-5 Investment Sales is Barred From Securities Industry, Ex-Stifel, Nicolaus Broker is Suspended Fined For Variable Annuity Violations, and Former Advisor is In Trouble Over Alleged Breaches Involving Senior Investors Accounts

Former Stifel, Nicolaus Broker is Accused of Variable Annuity Violations The Financial Industry

  • NY Man is Charged in $70M Investor Fraud In yet another investor fraud case in which the alleged fraudsters touted the sale of tickets from
  • Judge Stops $16 Million Interest Payment on COFINA bonds in Puerto Rico Bankruptcy In Manhattan federal court, U.S. District Judge Laura Taylor Swain has blocked a $16.3 million
  • Securities Fraud Cases: Ponzi Scam Operator Sentenced to Prison, Fund Manager Pleads Guilty, Ex-Options Trading Instructor Allegedly Misappropriated Investor Funds, $1.7M Financial Scam Leads to 10-Years Behind Bars

    SEC Charges Man Accused of Running $10M Ponzi Scam Mark Anderson Jones, whom the US Securities and

  • Massachusetts Hedge Fund Manager Faces Criminal and Civil Fraud Charges Over Alleged Multi-Million Dollar Ponzi Scam Over the weekend, Yasuna Murakami, a Cambridge-Massachusetts based hedge fund manager, was arrested

  • mortgage broker license


    #DORA Division of Securities – Mortgage Broker Licensing Procedure

    NOTE: Most mortgage brokers must register with the Colorado Division of Real Estate while very few must register with the Colorado Division of Securities.

    Information regarding mortgage broker registration is available from the Colorado Division of Real Estate at:

    Those mortgage brokers who raise money from individual investors to fund mortgage loans would need to be licensed under the state securities laws with the Colorado Division of Securities. Please review the following information before you apply for a Colorado Securities Division Mortgage Broker-Dealer license.

    General information Regarding Mortgage Broker-Dealers

    (e) A mortgage broker-dealer whose business is limited exclusively to effecting transactions with financial institutions [as defined in section 11-51-201(6), C.R.S.] is exempt from the licensing requirements of section 11-51-401(1), C.R.S.

    11-51-201(6),(C.R.S.) Financial or institutional investor means any of the following whether acting for itself or others in a fiduciary capacity:

    (a) A depository institution;

    (b) An insurance company;

    (c) A separate account of an insurance company;

    (d) An investment company registered under the federal Investment Company Act of 1940 ;

    (e) A business development company as defined in the federal Investment Company Act of 1940 ;

    (f) Any private business development company as defined in the federal Investment Advisers Act of 1940 ;

    (g) An employee pension, profit-sharing, or benefit plan if the plan has total assets in excess of five million dollars or its investment decisions are made by a named fiduciary, as defined in the federal Employee Retirement Income Security Act of 1974, that is a broker-dealer registered under the federal Securities Exchange Act of 1934 , an investment adviser registered or exempt from registration under the federal Investment Advisers Act of 1940 , a depository institution, or an insurance company;

    (h) An entity, but not an individual, a substantial part of whose business activities consist of investing, purchasing, selling, or trading in securities of more than one issuer and not of its own issue and that has total assets in excess of five million dollars as of the end of its latest fiscal year;

    (i) A small business investment company licensed by the federal small business administration under the federal Small Business Investment Act of 1958 ; and

    (j) Any other Institutional Buyer.

    A mortgage broker-dealer whose business is not limited exclusively to placing mortgage loans with institutional investors is subject to the mortgage broker-dealer licensing requirements under the state securities laws. Therefore, a mortgage broker-dealer who raises money from individual investors to fund mortgage loans would need to be licensed under the state securities laws.

    When applying for a Mortgage Broker-Dealer and/or Sales Representative license(s), file the following at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, CO 80202.

    Filing fees are required for a mortgage broker-dealer license and for each sales representative license. Make your check payable to the Colorado State Treasurer. Refer to the Fee Schedule for appropriate fee requirements.

    Form BD.

    Undertaking – Mortgage Brokers.

    Agent application Form U-4 for each person who will represent the firm in Colorado as sales representative and proof that applicant has passed the Uniform Securities Agent State Law Examination (Series 63).Individuals who are licensed as a real estate broker or salesman are excused from this examination requirement.When filing, provide proof of real estate licensure.Request a Uniform Qualifications

    A mortgage broker-dealer who maintains possession or control of investor funds or securities must meet certain financial responsibility requirements. The options for requirements are listed in Rule 4.6B. At the time of application for license, provide proof of compliance with such requirements, if applicable.