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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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Regulator comes down hard on compliance failures; additional $6.3 million must be paid back to investors.
November 2
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Prosecutors served a warrant seeking names of employees who opened unauthorized accounts, as well as the bank’s fee structure and a calculation of losses suffered by affected customers.
October 20
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Louis Martin Blazer III allegedly stole $2.35M from clients through his concierge firm Blazer Capital Management.
May 8
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Industry regulator levies its largest penalty involving variable annuities after claiming a long-running effort misrepresented annuity features and steered clients into costlier products.
May 3
