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  • "Nebraska Madoff" Dispute Against First Americans Reaches Arbitration Stage

  • "Socially Conscious" RIA Pays $11 Million To Settle Ponzi Charge

  • Advisors Beware: “Boiler Room Legalization Act” Is Expected To Be Implemented By SEC Shortly, Ushering In A New Era Of Investment Fraud

  • Ameriprise Fined $50,000 For Waiting Two Years To Punish Broker Who Forged Paperwork

  • Another Advisor Claiming To Be A Fiduciary Accused Of Defrauding Investors

  • Another Ponzi Lawsuit Against Questar Capital Opens Up

  • Another Radio-Driven Investment Scheme Indicted For Fraud

  • Broker-Dealer Wounded By Private Placements Winds Down, But Not Before Finding 100 Advisors A New Home

  • Cleaning Up Real Estate Fund Failures Still Keeping SEC Enforcers Busy, Years After The Crash

  • Consumer Financial Protection Board Weighs In On Senior Advisor Designations; Says SEC, States, And Other Lawmakers Must Act

  • Cyber Crime Is Increasing Across Industries

  • Did Stifel Nicolaus or RBC Sell Unsuitable Debt To Schools?

  • Ernst & Young Survey Discloses Willingness Of CFOs To Take Bribes

  • Fighting The Regulators Pays Off For A Shocking Number Of Firms Accused Of Misconduct

  • FINRA Shuts Down California Broker Linked To Online Penny Stock Manipulation Scheme

  • FINRA Warns Of Wave Of E-Mail Account Scams

  • Former FBI Agent In Court On Ponzi Charges

  • Former NAPFA Chairman Mark Spangler's Home Raided By FBI In Criminal Fraud Investigation

  • Former Orange County Advisor Held On Manslaughter Charge After Client Discovered His Account Was Being Drained

  • FTN Implicated In Failed RIA's Attempts To Alter Its Books

  • Hedge Fund Inside Trader Summarizes The Confusion Of A Greedy Decade

  • High-Living New Hampshire Advisor Charged With Taking $1.9 Million From A Client

  • Letters From Failed Suicide Attempt Of PFGBest CEO Reveal Lack Of Regulatory Oversight As Well As How Embezzled Funds Were Used

  • More Details Emerge In Houston Basketball Advisor's SEC-Linked Suicide

  • National Broker-Dealer Fined For Failing To Catch $8 Million Ponzi Rep

  • Notre Dame Legend "Rudy" Ruettiger Settles $11 Million Penny Stock Suit

  • One-Time CFP, Long-Time Financial Planner Charged With Stealing Client Money On Top Of Previous Charges Of Tax Fraud

  • Religious-Themed "Hedge Fund" Gets Shut Down In Beverly Hills

  • Religious-Themed Ponzi Schemes Still Preying On Investors

  • Ripple Effect From Madoff-Stanford Era May Touch Advisors As Well As Clients

  • Rogue Currency Trader Brought Back To U.S. To Face Charges

  • Sad Case: Houston Advisor Under SEC Investigation Kills Self, Revealing Dark Side Of Sports-Investing Business

  • Scathing Column On Securities America Sales Practices By Minneapolis StarTribune Is Blind To Ameriprise's Mistakes

  • SEC Deflates Belgian "Royal" And His Alleged $6 Million Ponzi Scheme

  • SEC Rewards Whistleblower With $150,000 Payout; This Is One Part Of Dodd Frank That Is Working

  • SEC Says St. Louis RIA Manipulated Stock Prices ... To Boost His Clients' Returns

  • SEC Shutting Down Alleged Fake Investment Scheme That Lasted A Full 20 Years

  • Securities America Gets Its Do-Or-Die Settlement Hearing Today

  • Securities Lawyers Investigate Losses In UBS Willow Fund

  • St. Louis Reps Plead Guilty In $5 Million Client Fraud Scheme

  • Tamarac Is Tainted By Spangler Scandal, But Could It Be Hurt Financially?

  • Tax Scam Alerts

  • Texas Insurance Agent Faces Up To 170 Years For Selling $5 Million In Fake Annuities

  • The New York Times Covers The Sad Irony Of The Mark Spangler Criminal Allegations

  • The SEC Is Updating Its Technology Systems To Better Detect Fraud

  • Washington State Broker Burned Through $4 Million In Client Funds While Living Large

  • Wells Fargo Advisor Who Bilked At Least A Dozen Clients Makes Front-Page News In Today’s New York Times

  • Willie Gault Under Fire: Another Sports Pro Feels The Pain Of SEC Scrutiny

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