Updated Saturday, May 25, 2013 as of 3:55 PM ET
Practice - Regulatory/Compliance
5 Financial Advisors Caught in the SEC's Crosshairs
by: Larry Barrett
Wednesday, February 29, 2012
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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.

 

 

 

Regulatory/Compliance

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