Slideshows
5 Financial Advisors Caught in the SEC's Crosshairs
5 Financial Advisors Caught in the SEC's Crosshairs

The Securities and Exchange Commission is stepping up its investigation and enforcement efforts to crack down on unscrupulous financial advisors who are responsible for bilking investors out of hundreds of millions of dollars every year.

Here’s an interactive slide show detailing five advisors who have already found themselves in the SEC’s crosshairs this year.

Also see:
Surviving Sanctions: How your practice can rebound even if you’ve been slapped by the CFP Board

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