office for the District of Connecticut

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  SEC Enforcement Roundup: $300M Resort Scam Leads to Rum-Soaked Investment

  By Marlene Y. Satter, AdvisorOne  |  January 31, 2013

  Among other enforcement actions this week, the SEC charged five former real estate executives in a $300 million Ponzi scheme involving phony investments in resorts. The spoils went toward boats, planes and a rum distillery.

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  SEC Charges Former Jefferies Exec With MBS Fraud

  By Melanie Waddell, AdvisorOne  |  January 28, 2013

  The SEC on Monday charged a former executive at New York-based broker-dealer Jefferies & Co. with defrauding investors while selling mortgage-backed securities in the wake of the financial crisis.

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  SEC Enforcement Roundup: Broker Charged With Stealing to Pay for Mortgage, Groceries

  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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  SEC Charges Broker With Stealing Clients’ Money to Pay for Mortgage and Groceries

  By Melanie Waddell, AdvisorOne  |  September 13, 2012

  The broker and his company based in Danbury, Conn., were charged with stealing at least $600,000 from clients and using the money to pay for his mortgage, grocery bills and other personal expenses.