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Former Philadelphia Eagles player Merrill Robertson Jr. funded "luxurious" lifestyle with life savings of football coaches, complaint says.
August 11
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Arbitrators for the regulator also awarded an expungement to Dale Cebert, who claimed a campaign to damage his reputation followed his termination from the wirehouse.
August 11
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One of the alleged fraudsters used client funds to pay off gambling debts, according to authorities.
August 9
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The Wall Street regulator says the firm repeatedly ignored red flags for years.
August 8
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George Merhoff poured his clients' portfolios into a handful of energy stocks that plummeted in value, ex-clients allege in arbitration cases.
August 2
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The broker allegedly swiped $1,035 from the bank by using a fee-rebate system to wrongfully move funds into his checking and savings accounts.
August 2
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The adviser allegedly placed more than 700 trades over three years, giving the client "little to no possibility" for a profit, the regulator says.
August 1
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The bank misled mutual funds and other custody clients about how it priced their foreign currency trades, the SEC alleges.
July 27
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The alleged wrongdoers transferred client money to their wives’ accounts, the commission says.
July 22 -
Brokers whose deferred pay has been withheld could soon file claims after the regulator confirmed advisers' right to take disputes to FINRA arbitration.
July 22
