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Moves and news at Macquarie, Rockefeller, Vanguard, Orion, and elsewhere in the financial-advice industry this week.
April 22
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Prosecutors say Carlos Kepke conspired with Smith from 1999 to 2014, and aided and assisted in the preparation of materially false tax returns.
April 19
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After a month of failed attempts to recover the cash, a Louisiana woman was arrested on charges of bank fraud, theft and illegal transmission of monetary funds.
April 14
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The police, FBI, SEC and IRS, among other agencies, have been trying to track ex-advisor Chris Burns for months, to no avail.
April 1
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The wealth managers paid victims restitution prior to one barred rep’s guilty plea and another one’s sentencing.
March 23
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The broker allegedly spent his client’s money on luxury items then pivoted to a Medicare fraud scam a couple of years later.
March 16
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Three recent criminal cases raise concerns that wealth managers and regulators aren’t detecting alleged fraud quickly enough or disclosing basic information about crimes and disciplinary problems.
March 12
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He allegedly used the money to pay gambling debts and credit card bills, according to federal prosecutors.
February 17 -
The 33-year-old advisor allegedly spent clients’ money on luxury items and business expenses for his startup.
February 11
