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The Death Of A Flamboyant Charity Wrongdoer Sends A Reminder To Regulators
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The influential executive who built the United Way of America into a charity powerhouse but fell from grace amid fraud charges and an affair with a teenager.
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Swindling the Elderly: A Real and Growing Problem
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Financial planners, medical professionals and other experts say cognitive decline makes seniors vulnerable to investment fraud.
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Survey Reveals Alarming Rise In Financial Abuse Of The Elderly
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Senior citizens are increasingly falling prey to financial scams and other abuses, according to a poll released Wednesday.
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SEC Private Placement Rule Threatens To Put Investors At Great Risk
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The SEC on Wednesday is expected to release a rule proposal to allow the general solicitation and advertising of private placements made under Reg D Rule 506.
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SEC, FINRA Enforcement: Ex-Marine Charged With Bilking Fellow Service Members
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Former Marine Clayton Cohn and his hedge fund management firm, Market Action Advisors, were charged by the SEC, after Cohn masqueraded as a successful trader to defraud fellow veterans, current service members and other investors.
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SEC Enforcement Roundup
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Broker Charged With Stealing to Pay for Mortgage, Groceries.
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SEC Charges Pair Of Brokers Investment Advisory Firm Others With $80M Variable Annuity Scam
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$4.5M paid in total to settle charges in ‘calculated fraud exploiting terminally ill patients’.
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SEC Accuses Planner of Stealing $1 Million From Clients
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A former Massachusetts certified financial planner and his colleague spent $1 million of their clients’ funds on personal expenses, including fast food, legal fees and ATM withdrawals at casinos, the SEC alleges.
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SEC’s 16 Biggest Penalties Since Financial Crisis
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Since the financial meltdown in 2008, the agency has charged more than 150 firms and individuals, and returned $2.6 billion to investors.
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Protect Clients And Yourself From The Perfect Scam
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There’s no doubt the baby boom retirement wave has created a tremendous opportunity for financial advisors.
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