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The RIA rep fabricated account statements and used forged letterheads as part of the deception, investigators say.
August 23
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William Michael Jordan, who co-founded a popular all-woman rideshare service in Southern California, agrees to industry bar.
August 17
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Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.
August 14
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The advisors collected $1.7 million by fraudulently pushing variable annuities, investigators say.
August 3
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The move will streamline investigations and standardize sanctions, the regulator says.
July 26
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Family dynamics can muddy an otherwise clear situation.
July 5
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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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Regulations to keep bad actors out of U.S. financial markets could soon apply to RIAs.
June 30
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The former First Tennessee Bank adviser defrauded numerous customers to satisfy a gambling addiction that started when he was in college, according to court documents.
June 20
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Approximately $4,500 was used to sponsor a cricket club via a shell company, authorities say.
June 15
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The cases stem from the investment advice given by a now barred broker, who is accused of soliciting funds for a Miami Beach nightclub he owned.
June 14
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Robert Cook said wealth management firms "must do their part."
June 12
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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 pro athlete met the adviser through his college business professor, authorities say.
May 30 -
On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.
April 20
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Charles Banks pleaded guilty to wire fraud related to loan refinancing for sports merchandising venture Gameday Entertainment.
April 4
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A roundup of planners and brokers who drew regulatory scrutiny for alleged misconduct.
April 3
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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
