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The advisor allegedly carried out a 20-year scheme defrauding at least 15 clients through forgery and misrepresentations.October 7
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The advisor allegedly used an omnibus trading account to help himself and hurt his clients to the tune of tens of thousands of dollars, according to the regulator.October 5
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Director tenures, nominations and committees are changing after an independent task force identified weaknesses.October 1
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The discrimination case revolves around allegations of disparate treatment in the firm’s agency distribution channels.October 1
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Actions hit a nine-year high and restitution climbed to the highest total since 2013 — even before the rule’s heightened scrutiny.September 25
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Based on the “forced experiment” of its remote periodic examinations of broker-dealers, the onsite portion “may not be necessary,” Robert Cook said.September 24
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Expenses fell by 20 basis points and risk-adjusted returns climbed 92 bps, according to the study.September 24
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The former broker allegedly also used his client’s money to pay bills at gas stations, grocery and hardware stores, according to the regulator.September 11
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The free lunches are over. Sort of.September 9
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The firm’s National Financial Services allegedly failed to deliver certain basic information to clients in five public offerings of shares in a fuel cell technology company.September 8
