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A former broker who masterminded an annuity scheme to profit from the deaths of terminally ill patients has been banned from the securities industry, says the agency.
If fines in 2014 continue at the current rate, this year will represent a 49 percent increase from the total fines reported in 2013.
The American Bar Association launches a new education initiative to help lawyers spot senior financial abuse.
The regulator alleges that the brokers churned the accounts of 24 customers, using margin and risky securities to generate huge commissions.
An advisor in his 70s was found guilty of funneling client money to a horse racing firm and small, thinly traded companies in exchange for secret kickbacks.
An investment firm chief who is the ex-husband of Jamie-Lynn Sigler pleaded not guilty to federal charges that he ran a scheme to manipulate stocks.
The SEC today approved a Finra proposal that would prohibit brokers from paying off customers in exchange for an uncontested expungement hearing.
U.S. investors are used to treating money-market mutual funds as the equivalent of a checking account, but that is about to change for the riskiest of the funds.
Castle Rock's AXIS program will be used by the AIG Advisor Group to comply with retirement plan regulations, AIG says.
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Portfolio Manager Insights
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