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	<title>FinanciallyRegulated</title>
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	<description>A lighthearted look at those being regulated, financially.</description>
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		<title>FinanciallyRegulated</title>
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		<title>Banker Removes Cash Directly From Client’s Wallet.</title>
		<link>http://financiallyregulated.com/2013/04/15/banker-removes-cash-directly-from-clients-wallet/</link>
		<comments>http://financiallyregulated.com/2013/04/15/banker-removes-cash-directly-from-clients-wallet/#comments</comments>
		<pubDate>Mon, 15 Apr 2013 15:55:02 +0000</pubDate>
		<dc:creator>Jeremy L. Bartell</dc:creator>
				<category><![CDATA[Broker/Adviser Discipline]]></category>
		<category><![CDATA[FINRA]]></category>
		<category><![CDATA[Finra Focus]]></category>
		<category><![CDATA[Lighter Note]]></category>
		<category><![CDATA[Chase Investment Services Corp.]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[J.P. Morgan Chase Bank]]></category>
		<category><![CDATA[Javier Echeverria]]></category>
		<category><![CDATA[Unauthorized deposit]]></category>

		<guid isPermaLink="false">http://financiallyregulated.com/?p=3156</guid>
		<description><![CDATA[Former Chase banker Javier Echeverria has an interesting new method of generating banking revenues – one that has industry observers divided. Here is the method, as reported by Finra: On or about October 5, 2012, Chase Bank customer MJ accidentally left her wallet at the Tarrytown Branch Office while conducting banking activities. A Chase Bank [&#8230;]<img alt="" border="0" src="http://stats.wordpress.com/b.gif?host=financiallyregulated.com&#038;blog=27041678&#038;post=3156&#038;subd=financiallyregulated&#038;ref=&#038;feed=1" width="1" height="1" />]]></description>
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			<media:title type="html">purse</media:title>
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		<item>
		<title>At the B&amp;B Brothers Company Christmas Party!</title>
		<link>http://financiallyregulated.com/2012/12/18/at-the-bb-brothers-company-christmas-party/</link>
		<comments>http://financiallyregulated.com/2012/12/18/at-the-bb-brothers-company-christmas-party/#comments</comments>
		<pubDate>Tue, 18 Dec 2012 15:35:53 +0000</pubDate>
		<dc:creator>Jeremy L. Bartell</dc:creator>
				<category><![CDATA[Broker/Adviser Discipline]]></category>
		<category><![CDATA[Bullzie & Bearzie]]></category>
		<category><![CDATA[Comics]]></category>
		<category><![CDATA[investment banking]]></category>
		<category><![CDATA[B&B Brothers]]></category>
		<category><![CDATA[Christmas]]></category>
		<category><![CDATA[Christmas party]]></category>
		<category><![CDATA[HSBC]]></category>
		<category><![CDATA[Hurricane Sandy]]></category>
		<category><![CDATA[Rajaratnam]]></category>
		<category><![CDATA[Sandy Relief]]></category>
		<category><![CDATA[UBS]]></category>
		<category><![CDATA[Wells Fargo]]></category>

		<guid isPermaLink="false">http://financiallyregulated.com/?p=3137</guid>
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		<slash:comments>0</slash:comments>
	
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			<media:title type="html">Santa Hat</media:title>
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			<media:title type="html">beingregulated</media:title>
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			<media:title type="html">At the B&#38;B Brothers Christmas Party</media:title>
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	</item>
		<item>
		<title>The SEC Says BioChemics, Inc. Misrepresented its Collaborations with Cynosure and Unilever.</title>
		<link>http://financiallyregulated.com/2012/12/16/the-sec-says-biochemics-inc-misrepresented-its-collaborations-with-cynosure-and-unilever/</link>
		<comments>http://financiallyregulated.com/2012/12/16/the-sec-says-biochemics-inc-misrepresented-its-collaborations-with-cynosure-and-unilever/#comments</comments>
		<pubDate>Mon, 17 Dec 2012 04:09:27 +0000</pubDate>
		<dc:creator>Jeremy L. Bartell</dc:creator>
				<category><![CDATA[Investment scam]]></category>
		<category><![CDATA[SEC]]></category>
		<category><![CDATA[Securities and Exchange Commission]]></category>
		<category><![CDATA[Securities Fraud]]></category>
		<category><![CDATA[Craig Medoff]]></category>
		<category><![CDATA[Cynosure]]></category>
		<category><![CDATA[Gregory S. Kroning]]></category>
		<category><![CDATA[John J. Masiz]]></category>
		<category><![CDATA[Unilever]]></category>

		<guid isPermaLink="false">http://financiallyregulated.com/?p=3124</guid>
		<description><![CDATA[For small companies struggling to raise capital, a collaboration with a well-known and established company is a valuable fact to market to potential investors. Investors may reasonably presume that established companies are skilled at screening and selecting collaboration partners. Only those deemed worthy may collaborate. A collaboration therefore acts like a stamp of approval and a signal [&#8230;]<img alt="" border="0" src="http://stats.wordpress.com/b.gif?host=financiallyregulated.com&#038;blog=27041678&#038;post=3124&#038;subd=financiallyregulated&#038;ref=&#038;feed=1" width="1" height="1" />]]></description>
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		<slash:comments>0</slash:comments>
	
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			<media:title type="html">beingregulated</media:title>
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		<item>
		<title>B&amp;B Brothers Seeks Legal Help with its Fiscal Cliff Short.</title>
		<link>http://financiallyregulated.com/2012/12/09/bb-brothers-seeks-legal-help-with-its-fiscal-cliff-short/</link>
		<comments>http://financiallyregulated.com/2012/12/09/bb-brothers-seeks-legal-help-with-its-fiscal-cliff-short/#comments</comments>
		<pubDate>Sun, 09 Dec 2012 06:00:56 +0000</pubDate>
		<dc:creator>Jeremy L. Bartell</dc:creator>
				<category><![CDATA[Bullzie & Bearzie]]></category>
		<category><![CDATA[Comics]]></category>
		<category><![CDATA[Derivatives]]></category>
		<category><![CDATA[Fiscal Cliff]]></category>
		<category><![CDATA[B&B Brothers]]></category>
		<category><![CDATA[bailout]]></category>
		<category><![CDATA[Derivative]]></category>
		<category><![CDATA[Fiscal cliff]]></category>
		<category><![CDATA[fiscal cliff short]]></category>
		<category><![CDATA[goldman sachs]]></category>
		<category><![CDATA[Jamie Dimon]]></category>
		<category><![CDATA[Jon Corzine]]></category>
		<category><![CDATA[Lawyer]]></category>
		<category><![CDATA[Legal advice]]></category>
		<category><![CDATA[short position]]></category>
		<category><![CDATA[Short sale]]></category>
		<category><![CDATA[SocGen]]></category>
		<category><![CDATA[Societe Generale]]></category>

		<guid isPermaLink="false">http://financiallyregulated.com/?p=2990</guid>
		<description><![CDATA[Click for larger<img alt="" border="0" src="http://stats.wordpress.com/b.gif?host=financiallyregulated.com&#038;blog=27041678&#038;post=2990&#038;subd=financiallyregulated&#038;ref=&#038;feed=1" width="1" height="1" />]]></description>
		<wfw:commentRss>http://financiallyregulated.com/2012/12/09/bb-brothers-seeks-legal-help-with-its-fiscal-cliff-short/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
	
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			<media:title type="html">beingregulated</media:title>
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			<media:title type="html">B&#38;B Brothers Seeks Legal Help with its Fiscal Cliff Short</media:title>
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	</item>
		<item>
		<title>Working Two Jobs Leads to Termination and Finra Sanctions.</title>
		<link>http://financiallyregulated.com/2012/12/06/working-two-jobs-leads-to-termination-and-finra-sanctions/</link>
		<comments>http://financiallyregulated.com/2012/12/06/working-two-jobs-leads-to-termination-and-finra-sanctions/#comments</comments>
		<pubDate>Fri, 07 Dec 2012 03:36:45 +0000</pubDate>
		<dc:creator>Jeremy L. Bartell</dc:creator>
				<category><![CDATA[Broker/Adviser Discipline]]></category>
		<category><![CDATA[BrokerCheck]]></category>
		<category><![CDATA[FINRA]]></category>
		<category><![CDATA[Finra Focus]]></category>
		<category><![CDATA[Lighter Note]]></category>
		<category><![CDATA[Broker-dealer]]></category>
		<category><![CDATA[Financial Advisor]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[Finra Rule 3270]]></category>
		<category><![CDATA[Finra sanctions guidelines]]></category>
		<category><![CDATA[NYLife]]></category>
		<category><![CDATA[Outside business activities]]></category>
		<category><![CDATA[selling away]]></category>

		<guid isPermaLink="false">http://financiallyregulated.com/?p=2849</guid>
		<description><![CDATA[Finra Focus - A periodic look at Finra disciplinary actions. Finra disciplinary settlements sometimes leave the reader feeling sympathetic for the disciplined individual. This happens, for example, where Finra sanctions an advisor for violating a rule, but the advisor did not violate the principles underlying the rules, or cause any harm. This is common with securities rules. Many [&#8230;]<img alt="" border="0" src="http://stats.wordpress.com/b.gif?host=financiallyregulated.com&#038;blog=27041678&#038;post=2849&#038;subd=financiallyregulated&#038;ref=&#038;feed=1" width="1" height="1" />]]></description>
		<wfw:commentRss>http://financiallyregulated.com/2012/12/06/working-two-jobs-leads-to-termination-and-finra-sanctions/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
	
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			<media:title type="html">beingregulated</media:title>
		</media:content>

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			<media:title type="html">Day-lighter</media:title>
		</media:content>

		<media:content url="http://financiallyregulated.files.wordpress.com/2012/12/finra.jpeg" medium="image">
			<media:title type="html">Finra</media:title>
		</media:content>

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			<media:title type="html">About FinanciallyRegulated</media:title>
		</media:content>
	</item>
		<item>
		<title>One-Eyed Murderer Forces Man to Commit Securities Fraud &#8211; A Halloween Special!</title>
		<link>http://financiallyregulated.com/2012/10/27/one-eyed-murderer-forces-man-to-commit-securities-fraud-a-halloween-special/</link>
		<comments>http://financiallyregulated.com/2012/10/27/one-eyed-murderer-forces-man-to-commit-securities-fraud-a-halloween-special/#comments</comments>
		<pubDate>Sun, 28 Oct 2012 03:53:15 +0000</pubDate>
		<dc:creator>Jeremy L. Bartell</dc:creator>
				<category><![CDATA[Investment scam]]></category>
		<category><![CDATA[Lighter Note]]></category>
		<category><![CDATA[Red Flags]]></category>
		<category><![CDATA[SEC]]></category>
		<category><![CDATA[Securities and Exchange Commission]]></category>
		<category><![CDATA[Securities Fraud]]></category>
		<category><![CDATA[.44 Magnum Leveraged Financing Program]]></category>
		<category><![CDATA[Alan Dershowitz]]></category>
		<category><![CDATA[Darlene A. Bishop]]></category>
		<category><![CDATA[Dresdner Bank]]></category>
		<category><![CDATA[Duress]]></category>
		<category><![CDATA[Eddie Bauer]]></category>
		<category><![CDATA[Geoffrey H. Lunn]]></category>
		<category><![CDATA[Halloween]]></category>
		<category><![CDATA[Karl Drais]]></category>
		<category><![CDATA[Nike]]></category>
		<category><![CDATA[Robert Perello]]></category>
		<category><![CDATA[Vincent G. Curry]]></category>

		<guid isPermaLink="false">http://financiallyregulated.com/?p=2482</guid>
		<description><![CDATA[Just in time for Halloween! It was a chilly autumn night in the suburbs of Denver. Down a filthy alley, strewn with rotting Chipotle burritos and prairie dog carcasses, walks a man. He&#8217;s a family man, an ordinary man, indistinguishable from other Coloradans in his Columbia fleece, khaki cargo shorts and Nike hiking shoes, except that [&#8230;]<img alt="" border="0" src="http://stats.wordpress.com/b.gif?host=financiallyregulated.com&#038;blog=27041678&#038;post=2482&#038;subd=financiallyregulated&#038;ref=&#038;feed=1" width="1" height="1" />]]></description>
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		<slash:comments>0</slash:comments>
	
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			<media:title type="html">Pumkin</media:title>
		</media:content>

		<media:content url="http://0.gravatar.com/avatar/f8a9e4d603565044f768df76779e338a?s=96&#38;d=http%3A%2F%2F0.gravatar.com%2Favatar%2Fad516503a11cd5ca435acc9bb6523536%3Fs%3D96&#38;r=PG" medium="image">
			<media:title type="html">beingregulated</media:title>
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			<media:title type="html">Pumkin</media:title>
		</media:content>

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			<media:title type="html">Pumkins</media:title>
		</media:content>

		<media:content url="http://financiallyregulated.files.wordpress.com/2012/10/perellos-hand.jpg" medium="image">
			<media:title type="html">Perello&#039;s Hand?</media:title>
		</media:content>

		<media:content url="http://financiallyregulated.files.wordpress.com/2012/10/karlvondrais.jpeg?w=300" medium="image">
			<media:title type="html">Laufmaschine</media:title>
		</media:content>

		<media:content url="http://financiallyregulated.files.wordpress.com/2012/10/lunch.jpeg" medium="image">
			<media:title type="html">Lunch</media:title>
		</media:content>

		<media:content url="http://financiallyregulated.files.wordpress.com/2012/10/hat.jpg?w=1024" medium="image">
			<media:title type="html">Hat</media:title>
		</media:content>

		<media:content url="http://financiallyregulated.files.wordpress.com/2012/10/pumkins-pumkins.jpg" medium="image">
			<media:title type="html">Pumkins Pumkins</media:title>
		</media:content>
	</item>
		<item>
		<title>Getting Rich from the Fiscal Cliff.</title>
		<link>http://financiallyregulated.com/2012/10/27/getting-rich-from-the-fiscal-cliff/</link>
		<comments>http://financiallyregulated.com/2012/10/27/getting-rich-from-the-fiscal-cliff/#comments</comments>
		<pubDate>Sat, 27 Oct 2012 20:48:24 +0000</pubDate>
		<dc:creator>Jeremy L. Bartell</dc:creator>
				<category><![CDATA[Bullzie & Bearzie]]></category>
		<category><![CDATA[Derivatives]]></category>
		<category><![CDATA[Hedge Fund]]></category>
		<category><![CDATA[Lighter Note]]></category>
		<category><![CDATA[Short selling]]></category>
		<category><![CDATA[Bear Stearns]]></category>
		<category><![CDATA[Countrywide]]></category>
		<category><![CDATA[Fannie Mae]]></category>
		<category><![CDATA[Fiscal cliff]]></category>
		<category><![CDATA[Freddie Mac]]></category>
		<category><![CDATA[goldman sachs]]></category>
		<category><![CDATA[Irrational Exuberance]]></category>
		<category><![CDATA[Lehman Brothers]]></category>
		<category><![CDATA[Merrill Lynch]]></category>
		<category><![CDATA[Michael Lewis]]></category>
		<category><![CDATA[The Big Short]]></category>
		<category><![CDATA[The Motley Fool]]></category>
		<category><![CDATA[Wachovia]]></category>
		<category><![CDATA[Washington Mutual]]></category>

		<guid isPermaLink="false">http://financiallyregulated.com/?p=2433</guid>
		<description><![CDATA[A product of congressional can-kicking, the fiscal cliff is a nasty combination of government spending cuts and tax hikes beginning in 2013. As with most cliffs, driving off it will hurt. And even if we survive the fall, we&#8217;ll land back in Deep Recession, that seedy, stagnant town we thought we&#8217;d left in the rear-view mirror. [&#8230;]<img alt="" border="0" src="http://stats.wordpress.com/b.gif?host=financiallyregulated.com&#038;blog=27041678&#038;post=2433&#038;subd=financiallyregulated&#038;ref=&#038;feed=1" width="1" height="1" />]]></description>
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		<slash:comments>0</slash:comments>
	
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			<media:title type="html">Bearzie</media:title>
		</media:content>

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			<media:title type="html">beingregulated</media:title>
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			<media:title type="html">Here Comes the Fiscal Cliff...</media:title>
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			<media:title type="html">Bullzie Shorts the Fiscal Cliff</media:title>
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		<title>Bullzie Shorts the Fiscal Cliff.</title>
		<link>http://financiallyregulated.com/2012/10/14/bullzie-shorts-the-fiscal-cliff/</link>
		<comments>http://financiallyregulated.com/2012/10/14/bullzie-shorts-the-fiscal-cliff/#comments</comments>
		<pubDate>Sun, 14 Oct 2012 17:36:41 +0000</pubDate>
		<dc:creator>Jeremy L. Bartell</dc:creator>
				<category><![CDATA[Bullzie & Bearzie]]></category>
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		<category><![CDATA[Derivatives]]></category>
		<category><![CDATA[Short selling]]></category>
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		<category><![CDATA[Great Gatsby]]></category>
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		<category><![CDATA[Proprietary trading]]></category>
		<category><![CDATA[short selling]]></category>
		<category><![CDATA[Taxmageddon]]></category>

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			<media:title type="html">Bearzie</media:title>
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			<media:title type="html">Bullzie Shorts the Fiscal Cliff...</media:title>
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		<title>Here Comes the Fiscal Cliff.</title>
		<link>http://financiallyregulated.com/2012/10/02/here-comes-the-fiscal-cliff/</link>
		<comments>http://financiallyregulated.com/2012/10/02/here-comes-the-fiscal-cliff/#comments</comments>
		<pubDate>Tue, 02 Oct 2012 05:31:25 +0000</pubDate>
		<dc:creator>Jeremy L. Bartell</dc:creator>
				<category><![CDATA[Bullzie & Bearzie]]></category>
		<category><![CDATA[Comics]]></category>
		<category><![CDATA[bush tax cuts]]></category>
		<category><![CDATA[credit default swaps]]></category>
		<category><![CDATA[death spiral]]></category>
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		<category><![CDATA[goldman sachs]]></category>
		<category><![CDATA[sequestration]]></category>
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		<title>Meanwhile, at the High-Frequency Trading Firm. . . .</title>
		<link>http://financiallyregulated.com/2012/09/26/meanwhile-at-the-high-frequency-trading-firm/</link>
		<comments>http://financiallyregulated.com/2012/09/26/meanwhile-at-the-high-frequency-trading-firm/#comments</comments>
		<pubDate>Thu, 27 Sep 2012 02:29:19 +0000</pubDate>
		<dc:creator>Jeremy L. Bartell</dc:creator>
				<category><![CDATA[Bullzie & Bearzie]]></category>
		<category><![CDATA[Comics]]></category>
		<category><![CDATA[High-frequency trading]]></category>
		<category><![CDATA[Stock exchanges]]></category>
		<category><![CDATA[asymptote]]></category>
		<category><![CDATA[high-speed trading]]></category>

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