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The case marks the firm’s second in a month, but its special investigations unit helped crack it.
August 25
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The magnate's fallen empire included RCS Capital, the onetime parent of Cetera Financial Group.
June 30
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He confessed months after he was caught with 136 pounds of marijuana, investigators say.
June 6
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The investor received 15 months in prison after pleading guilty to wire fraud.
June 1
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The pro athlete met the adviser through his college business professor, authorities say.
May 30
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A federal judge issued a restraining order and a temporary asset freeze against the former broker.
March 28
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The former adviser allegedly pocketed more than $300,000 from trades involving pharmaceutical stocks.
March 21
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The barred broker used $2.5 million in client funds to buy a waterfront home in Rhode Island, authorities say.
March 17
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The transactions cost the client $575,000 in fees and lost dividend payments, according to FINRA.
March 1
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“It starts out small,” the advisor told his compliance officer, authorities say. “You think you are going to pay it back.”
February 24
