Allen Stanford

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  FINRA at 5 Years: Highlighting 7 Areas of Action

  By Melanie Waddell, AdvisorOne  |  August 9, 2012

  Quite a bit has happened in those five years: billion-dollar frauds, a flash crash exposing major volatility issues and a bill supporting FINRA as advisors' SRO, to name a few developments.

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  SEC Enforcement Roundup: Former SEC Official Barred for Ties to Stanford

  By Marlene Y. Satter, AdvisorOne  |  May 31, 2012

  Conflict of interest charges against a former SEC official and charges of deceiving investors against a Miami-based hedge fund advisor were among the enforcement actions taken recently by the SEC.

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  Allen Stanford and Jon Corzine: The 2012 IA 25 Extended Profile

  By Melanie Waddell, AdvisorOne  |  May 15, 2012

  Allen Stanford and Jon Corzine: two names that have come to occupy the same sullied space as Bernie Madoff.

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  Jason Zweig Calls for Robots as Regulators

  By John Sullivan, AdvisorOne  |  May 11, 2012

  Jason Zweig is causing controversy—again—suggesting the ongoing SRO debate would be solved with robots (seriously).

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  The 2012 IA 25

  By Editorial Staff  |  April 24, 2012

  Some people ride a wave and some people, like the honorees of the 10th annual IA 25, create a wave.

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  Special Report: The 2012 IA 25

  By Editorial Staff  |  April 24, 2012

  Throughout the rest of April and May, we’ll be publishing extended versions of each profile, including exclusive interviews, on AdvisorOne.

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  SIPC Fights SEC’s Stanford Suit

  By Melanie Waddell, AdvisorOne  |  March 26, 2012

  One day after Allen Stanford was convicted on March 6 of operating a $7 billion Ponzi scheme, the CEO of the Securities Investor Protection Corp. (SIPC) told lawmakers that SIPC is not responsible for reimbursing Stanford investors for their losses.

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  Allen Stanford Found Guilty of $7 Billion Ponzi Scheme

  By John Sullivan, AdvisorOne  |  March 6, 2012

  Former billionaire Allen Stanford was convicted Tuesday of running a $7 billion Ponzi scheme. He was found guilty on 13 counts of a 14-count criminal indictment, including fraud and conspiracy.

• ‘Triumphs’ of the Regulators

  By Ronald Delegge, ETFguide.com  |  February 24, 2012

  The magnificent and multiple failures of financial regulators over the past few years have been rather alarming.

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  Stanford Fraud Trial Bigger ‘Black Eye’ for SEC, FINRA Than Madoff

  By Melanie Waddell, AdvisorOne  |  January 23, 2012

  The Allen Stanford trial began on Monday for his alleged $7 billion Ponzi scheme that involved supposedly ‘safe’ certificates of deposit.