Compliance/Fraud

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SEC Gets Pushback On Paperless Mutual Fund Reports

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The SEC has a fight on its hands over a proposal to have mutual fund shareholders opt in for paper delivery of shareholder reports.

CFP Board Disciplines 20 Advisors

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Five of the advisors had their CFP certificates revoked for issues ranging from client account churning to a sexual assault conviction.

$12M Oil And Glass Drilling Fraud Charged By SEC

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Two companies and the companies' owner are charged with raising money from investors that was diverted for a Porsche and other expenses.

Aguilar: SEC Waiver Process Needs To Be Improved

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The SEC commissioner says he and others need to see waiver requests by companies looking to get around prohibitions.

Ex-JPMorgan Analyst Implicated in Insider Trading Scheme

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Former J.P. Morgan analyst Ashish Aggarwal faces fraud and conspiracy charges after allegedly engaging in a $670,000 insider trading scheme with two of his friends.

California Sports Drink Company Founder Is Barred From Financial Industry

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The founder of Innovative Health Solutions swindled investors out of nearly $8 million in investments, the SEC says.

SEC: Retired Advisor Illegally Solicited Nearly $13 Million From Investors

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The SEC has barred the 73-year-old former advisor from the industry.

Feds Want RIAs To Comply With Anti-Money Laundering Rules

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The greater the risk of money laundering at an advisory firm, the stiffer the requirements for company programs would be.

Real Estate Financier Defrauds Chinese Investors In $125 Million Scheme

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Lobsang Dargey, of Bellevue, Wash., faces fraud charges after he allegedly defrauded Chinese investors with promises of residency in a real estate scheme.

Schwab To Pay $2M For Net Capital Violations

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A Charles Schwab Corp unit has agreed to a $2 million civil fine for failing to keep sufficient cash on hand to meet capital requirements on three separate days last year.

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