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By Melanie Waddell, AdvisorOne |
May 6, 2013
The SEC is warning investors that working with an advisor doesn’t guarantee they won’t be scammed in private oil and gas offerings.
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By Marlene Y. Satter, AdvisorOne |
March 7, 2013
FINRA and the SEC recently acted on issues that included the fleecing of 31 NFL players via high-risk casino securities and a rep who conducted a Ponzi scheme under his firm’s nose.
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By Marlene Y. Satter, AdvisorOne |
June 14, 2012
The agents illegally sold securities for a Long Island-based investment firm that was not registered with the SEC, but was instead the creator of a $415 million Ponzi scheme.