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In a rare interview, Andrew Ceresney reveals the commission's beefed-up efforts, and what advisers should know.
August 16
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Nicholas Mitsakos allegedly used the funds to pay his credit card bills and make payments on his Mercedes, authorities charge.
August 16
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Richard W. Davis also took $1.5 million in fees while he was entitled to just $150,000, the commission alleges.
June 6
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The Massachusetts-based planner, who allegedly told clients their money would be invested in a hedge fund, was also ordered to pay $1.89 million to victims.
May 19 -
Louis Martin Blazer III allegedly stole $2.35M from clients through his concierge firm Blazer Capital Management.
May 8 -
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
