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Friends and business associates lost $2 million in a Ponzi-like scheme.
November 2
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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 RIA owner got insider tips from an attorney drunk on several glasses of wine, according to the SEC.
August 17
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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 -
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
