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By Marlene Y. Satter and Melanie Waddell, AdvisorOne |
September 13, 2012
Among recent SEC enforcement actions were charges that a broker stole client funds and used them to pay for his own personal expenses, including groceries and a mortgage.
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By Melanie Waddell, AdvisorOne |
September 27, 2011
In the latest crackdown on improper use of CDOs, the SEC on Tuesday charged RBC Capital Markets for misconduct in the sale of unsuitable investments to five Wisconsin school districts