Compliance/Fraud Articles

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Annuity Risk Should Be Communicated More Clearly, Says SEC Exec

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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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Financial Advisor Sentenced To Prison For Fraud

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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Top Finra Regulator Resigns After Word Of Bingo Fraud Is Leaked

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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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House To Examine Money Market Rules In July

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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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Financial Abuse Of Elderly Serious Problem, Survey Says

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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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Finra Fines Wells Fargo, Banc of America For Inappropriate Investments

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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New Money-Market Fund Rules May Benefit Clients

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Financial advisor clients could benefit from better money-market fund disclosure, diversification and stress testing in proposed SEC rules.

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New Mexico’s Udall To Take Over Senate SEC Budgeting

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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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SEC Suspends Trading In 61 Shell Companies

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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