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Firms need to consider new "fraud mitigation strategies," according to a new study.April 11
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Chuck Person persuaded student-athletes to form illegal business relationships with at least one financial advisor.March 21
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All 83,000 CFPs certification information is now published via the same technology that underlies fast-proliferating cryptocurrencies.February 1
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A niece thought her aunt’s caretaker was stealing. How much can an advisor do?December 24
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Chairman Jay Clayton said he remains worried that cryptocurrency can be too easily stolen or manipulated on exchanges.November 28
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The firm is the first to be censured for violating the Identify Theft Red Flags rule.September 26
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One high-net-worth client with more than $20 million in assets took the majority of the losses, the regulator says.September 24
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Joel N. Burstein allegedly helped his father-in-law defraud foreign investors hoping to immigrate to the U.S.September 7
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Five fired and barred former registered reps stole more than $1 million from clients over a four-year period, according to the regulator.August 15
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The barred onetime Questar Capital and Woodbury Financial rep had pleaded guilty to the scam, which he says stemmed from a gambling addiction.August 1
