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The regulator's court victory wraps up years of litigation against a financial planner accused of defrauding at least nine clients of more than $1 million.
July 5
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The principals at Legend Venture Partners stand accused of making millions by offering shares in pre-IPO companies without disclosing markups to investors.
June 29
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A 2018 law protects wealth managers who report scams against seniors — but it can only help them if they're aware of it.
June 16
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Former Goldman partner Adam Dell, 53, was accused of sending graphic footage of himself to a junior staffer in 2020.
June 16
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The former relationship manager has pleaded not guilty to allegations he blew money from client accounts on bad stock bets.
June 9
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The former advisor faces as many as 10 years in prison for stealing roughly $1.7 million from relatives' brokerage accounts to pay for trips, cruises and other personal expenses.
June 8
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Dennis B. Levine, a central player in the 1980's most notorious insider trading scheme, benefits from the regulator's fix, but so will some everyday financial planners.
June 7 -
Federal officials have long warned of the dangers of accounts with few guardrails on what they can invest in.
May 31
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North Carolina stood accused of taking in $7.2 million from 13 victims over course of decade.
May 25 -
For the first time, the brokerage's self-regulatory body is citing the 3-year-old rule as a reason to remove a firm from the industry.
May 12
