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By Marlene Y. Satter, AdvisorOne |
August 16, 2012
Recent actions by the SEC and FINRA ensnared a former Hall of Fame college football coach charged in an $80 million Ponzi scheme and a Wells Fargo vice president for failing to disclose the risks of mortgage-backed securities.
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By Melanie Waddell, AdvisorOne |
August 10, 2012
The SEC's Asset Management Unit charged David Dube and his firm, Peak Wealth Opportunities, on Friday with failing to provide examiners with records of a mutual fund advisory business that invested in NASCAR-related stocks.