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By Melanie Waddell, AdvisorOne |
January 24, 2013
The SEC recently released a roundup of its financial crisis enforcement actions, highlighting some of the more than 150 firms and individuals the agency has levied charges against since 2008.
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By Marlene Y. Satter, AdvisorOne |
December 20, 2012
Among recent enforcement actions taken by the SEC were charges against Allianz for violations of the Foreign Corrupt Practices Act that resulted in penalties of more than $12.3 million; against a Connecticut-based advisor for telling clients it was investing in the same collateralized debt obligations it recommended for them; against...