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Playing to Win

It seems the range of permitted activities for US financial advisers is considerably more liberal than those allowed by our own FSA.

At least this is the conclusion the Diary has come to after dipping its nose into the crime thrillers by US writer Harlan Coben.

Several of Coben’s books feature the interestingly named financial adviser Windsor Horne Lockwood III, whose New York-based company Lock-Horne Securities has a clientele of sport stars, celebrities and other high-net-worth names.

Windsor – Win for short – has obviously built up a good stream of trail commission as he lives in New York’s exclusive Dakota apartment – famously home to John Lennon before he was tragically gunned down in its entranceway.

But those of you hoping to read exciting tales of fact-finds and key features illustrations will be sorely disappointed as Win is scarcely to be found in his office. Instead, the mildly psychotic adviser – trained in the martial arts – has a sideline dispensing his own brand of justice to criminals.

Drawing on a vast arsenal of weapons, Win wages a ruthless war against New York’s hoodlums and mobsters. He also owns a series of unregistered luxury cars to enable him to operate without being traced.

The regulators had better watch out the next time they try to hoist an above-inflation levy hike on Win…..

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