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Wirehouse system and supervisory failures are just the start.
October 25
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One of the sanctioned advisers has 26 disclosure events listed on his FINRA BrokerCheck record while remaining in good standing with Ameriprise.
October 21
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The wirehouse agrees to pay a $2.8 million fine after the regulator discovers the bad reporting went on for years.
October 19
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Paul T. Lebel excessively traded shares that carried large front-end loads and "willfully disregarded the customers' interest," the agency said.
October 19
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The former RIA and fund advisor was cited for multiple fiduciary violations in a day-trading scheme, pocketing profitable trades from a pooled account while burdening clients with the losses.
October 5
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The first-ever case of its kind is putting other broker-dealers on notice about the regulator's enhanced abilities to identify patterns of abuse.
September 28
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The SEC's allegations against David Paterson were tied to a proposal to build the largest movie studio in North America.
September 23
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FINRA cracks down after $1.3M theft from 89-year-old client.
July 20
