Compliance/Fraud Articles

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Groups Pushing SEC To Act On Fiduciary Standard For B-Ds

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They say the SEC has been unable or unwilling in the past 25 years to develop a policy for the delivery of personalized investment advice for retail investors.

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Ex-Broker Must Pay $2 Million To Former NBA Player

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A former broker that regulators said took part in a multi-million dollar fraud against professional athletes must pay $2 million to a former NBA player, an arbitration panel ruled.

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New Jersey Broker Admits Orchestrating $20M Ponzi Scheme

by FA Staff

A $20 million Ponzi scheme netted a New Jersey broker enough money for a $400,000 donation to a private university, as well as luxury apartments and cars.

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SEC Captured By Companies It Regulates, Say Senators

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They called “regulatory capture” a problem that afflicts all federal agencies overseeing business.

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Penalties For Advisors Possible For Not Deleting Misleading Tweets

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Financial advisors could face enforcement actions for not deleting misleading social media posts, said an SEC official.

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Maryland Investment Advisor Forfeits $1.3 Million Stolen From Annuity

by FA Staff

A Maryland investment advisor admits stealing from an elderly client.

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Madoff Bankruptcy Costs Top $1 Billion Six Years After Fraud

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The cost of liquidating his defunct investment advisory firm to repay thousands of victims has topped $1 billion, though the con man’s former customers aren’t footing the bill.

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Wedbush To Pay $2.44 Million To Settle SEC Market Access Charges

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The brokerage firm will pay a $2.44 million penalty and admit to wrongdoing in a deal to settle civil charges over shoddy risk controls that let thousands of overseas traders gain access to U.S...

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SEC Official: Stop Spending Time Writing Rules To Protect Millionaires

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A Republican commissioner takes issue with calls to draw limits on who can be an accredited investor based on a person's financial sophistication and trading experience.

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Ebola Becomes Latest Stock Scam, U.S. SEC Says

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U.S. regulators on Thursday suspended trading in four small stocks of companies that they said have been touting the development of products to prevent or treat the Ebola virus.

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