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By Marlene Y. Satter, AdvisorOne |
January 3, 2013
The SEC recently charged Eli Lilly for violations of the FCPA and barred an Arizona-based fund manager from the industry after the fund’s collapse. FINRA ordered Pruco Securities to pay $10.7 million.
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By Marlene Y. Satter, AdvisorOne |
June 28, 2012
Recent SEC actions include shutting down two Ponzi schemes, one that brought in $100 million and another that collected $42 million. A Malaysian advisor was sued for not advising.