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By Melanie Waddell, AdvisorOne |
October 19, 2012
The SEC must re-evaluate the strength of its initial settlements and “specifically design” a program to combat repeat fraudsters, SEC Commissioner Luis Aguilar said.
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By Marlene Y. Satter, AdvisorOne |
October 5, 2012
The DOL and the SEC took action recently on a number of cases that included embezzlement and breach of fiduciary duty, illegal tips on M&As, failure to protect confidential information and fraud.