Compliance/Fraud Articles
Total: 901
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by
Ted Knutson
An SEC official told annuities industry professionals that their communications with consumers needs to improve because the investments have become more complex.
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by FA Staff
A former associate of a financial advisor who committed suicide while under investigation has been sentenced to more than four years in prison for running his own Ponzi scheme, the U.S...
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by
Bloomberg News
A top Finra official resigned after the agency was informed he was indicted for felony theft and charitable bingo fraud in 1993, the year he joined the agency.
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by
Ted Knutson
Proposed money market mutual fund rules by the SEC look good and should be the subject of House hearings starting in July, according to Rep. Scott Garrett (R-N.J.).
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by
Karen DeMasters
An overwhelming majority of doctors and nurses feel financial fraud is a very or somewhat serious problem for the elderly, according to a new survey.
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by FA Staff
Wells Fargo and Banc of America Investment Services have been ordered to pay more than $3 million in restitution by Finra for selling unsuitable floating bank loan funds.
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by
Ted Knutson
Financial advisor clients could benefit from better money-market fund disclosure, diversification and stress testing in proposed SEC rules.
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by
Ted Knutson
With the death of Senator Frank Lautenberg, Senator Tom Udall is expected to become the chairman of an important Senate subcommittee that oversees budgeting for the SEC and the CFTC.
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by FA Staff
The SEC suspended trading in 61 empty shell companies Monday, the second largest group of companies to be affected by a suspension order in one day in the agency’s history, the SEC announced.
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