Compliance/Fraud Articles

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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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Advisory Firm Shocked Finra Orders It To Pay $3.8M To ExxonMobil Retirees

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A Finra arbitration panel rules in favor of the retirees, who say they were told a "total return" model would increase their S&P 500 gains while reducing the risks of trading equities.

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Schorsch Faces Challenges In Rebuilding Big Chunk Of His Fortune

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With part of Nicholas Schorsch’s real estate empire fracturing into warring factions, a chunk of his fortune may depend on his RCS Capital distancing itself from ARCP accounting problems.

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CFTC Launches Campaign To Spotlight Fraud -- Minus Suitability

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The commission launched a new program to increase investor awareness of frauds, but it does not highlight cases involving lack of suitability.

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SEC Wins $3.6M Against Company Linked To Advisor-Crooner

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A U.S. district court judge ordered a company to pay $3.6 million to victims of investment advisor representative Larry Dearman.

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SEC Seeking To Up Retail Investor Use Of FA Disclosure Database

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The SEC is trying to find ways of increasing retail investor use of the Investment Adviser Public Disclosure database.

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SEC Reports Rise In Whistleblower Tips In Fiscal 2014

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The SEC received more than 3,500 tips in fiscal year 2014, and paid a record $30 million to one whistleblower.

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Cyber Assaults On Financial Services Industry Doubled In 2014, Survey Says

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Cyber assaults against financial services companies nearly doubled this year, according to a new report.

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