Compliance/Fraud

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How A 25-Year-Old Investor Spurred Lumber Liquidators’ Plunge

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Lumber Liquidators ’s stock plunge, fueled by allegations of excessive formaldehyde in its flooring, can be traced back to a blog post from an obscure 25-year-old short seller.

ARCP Restatements Show Wider Losses After Accounting Errors

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American Realty Capital Properties Inc. filed restated results showing the company understated losses for 2013 and the first quarter of 2014.

Morgan Stanley Says New York Attorney General May File Lawsuit

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Morgan Stanley said the N.Y. Attorney General's office indicated it would file a lawsuit accusing it of misrepresenting or omitting material information in about 30 subprime securitizations.

SEC Charges Ponzi Schemer Took Would-Be Uber Investors For A Ride

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A venture capital fund manager who promised the public pre-IPO shares in taxi company Uber Technologies and Twitter instead took retail investors for a ride in a Ponzi scheme, the SEC said.

The Next Bernie Madoff? Richard Dreyfuss, Maybe Robert De Niro

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There’s competition to be the first Academy Award winner to play Bernie Madoff, mastermind of the world’s biggest Ponzi scheme.

Advisor Conflicts Top SEC Priority In 2015, Enforcement Chief Says

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The SEC enforcement unit overseeing financial advisors will be focusing on conflict of interests this year, its head said Thursday.

The Two Faces Of A Fiduciary Standard: Positive And Punitive

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The national debate fanned by President Obama over new fiduciary standards for financial advisors shows that the country is veering too much toward punishment, says expert Donald Trone.

How New York Hunts Down Tax Refugees

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Few states are as strict about residency rules as New York, which means that if New Yorkers want to leave—and take state tax revenue along with them—they must prove they really are gone.

Many Brokerages Fail To Report Possible Money Laundering

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A “disturbingly large” number of U.S. securities brokerages are not filing mandatory reports with regulators about customer transactions that could signal money laundering, according to the SEC.

SEC Risk Chief: Agency Not Using Computers As Robocops To Finger FAs

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The SEC is not using computers as robocops to finger financial advisors, says the director of the agency's Division of Economic and Risk Analysis.

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