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Ex-NAPFA Chairman Sent Straight To Prison In Fraud Judgment
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When a judge ordered former NAPFA Chairman Mark Spangler taken directly into custody Thursday, the once-prominent investment advisor looked stunned, says one of the U.S. prosecutors on the case.
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Bernie Madoff Insists JPMorgan Knew Of Ponzi Scheme
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Bernie Madoff continues to insist that big banks and feeder funds knew his investment was a Ponzi scheme, and urges U.S attorney to investigate them.
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B-D, execs who allegedly preyed on seniors hit with $2.6M in fines, restitution
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Brookstone socked by Finra for sale of CMOs to the elderly; brokerage to appeal nonfinal decision.
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A Broker Who Broke Bad
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Justin Paperny has made a remarkable journey from advisor to inmate to ethicist.
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12 Worst Financial Advisors in America: 2013
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It’s time for ThinkAdvisor’s second annual look at terrible advisors. We mean terrible.
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Wells to pay $2M to settle claims broker sold unsuitable investments to seniors
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Finra alleged that a broker bought reverse convertible notes for 21 mostly elderly customers.
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Wells Fargo And BofA Are Leaning On Their Brokerage Businesses
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Bank of America Corp. and Wells Fargo are pushing their customers to buy more brokerage, savings and banking services from them…
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Unique Challenges In Handling Existing VAs
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When new clients bring previously purchased contracts to the table, advisers have options.
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Top 5 Investor Product Traps For 2011
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Advisors and their investor clients should be on the lookout for these popular scams.
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TIC Investments Come Back To Bite
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Real estate exchanges looked great before bust, but now toxic for B-Ds.
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