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New Jersey Broker Admits Orchestrating $20 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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Proceed With Caution When Calculating U.S. College Costs

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U.S. colleges have started, however reluctantly, to share more information about what students might actually pay to attend ––the so-called net price.

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Some B-Ds Reinstate Selling Agreements With RCAP

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RCS Capital Corp. said today that some broker-dealers have resumed sales of products distributed by RCAP’s wholesale distribution business.

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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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Mixed Signals From U.S. Economy Confound Fed

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Conflicting signals from economic data are making it hard for the U.S...

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Coconut Grove Bank Appoints Vice President

by FA Staff

Ana Chaoui has joined the firm in Florida as a vice president and branch manager.

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Securities America Welcomes National Director Of Recruiting

by FA Staff

Gary Bender brings more than 30 years of industry experience to the independent broker-dealer.

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Tyler Resh Joins First Foundation

by FA Staff

First Foundation Inc. hires new director of marketing and strategy.

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States Move To Share Data On Financial Firms

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A national system to share information on advisory and broker-dealer firms is being developed.

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