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Get some of the latest news in Securities Fraud, Class Actions, Ponzi Schemes from Starr Austen & Miller.

Class Actions

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Securities Fraud

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As an investor, you might not be getting what you pay for regarding financial planning. A recently released study attributes
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The Securities and Exchange Commission (SEC) recently fined 13 financial firms for selling risky Puerto Rican bonds to retail clients
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A widely accepted reality of the financial industry is that management typically turns a blind eye to potential indiscretions of
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Examiners with the Securities and Exchange Commission (SEC) are poring over much more data from advisory firms, and are able
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Former Ameriprise Financial Inc. adviser Susan Walker recently pleaded guilty to defrauding 24 clients of $980,000. Walker used the money
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With a record number of actions taken and fines levied, the Securities and Exchange Commission (SEC) experienced its most prolific
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The Securities and Exchange Commission (SEC) recently charged Judy Wolf, a former compliance officer at Wells Fargo Advisors, for improperly
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An independent contractor with Raymond James Financial Services, Jo Ellen Fisher, has been barred from serving as an investment adviser
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Allowing numerous variable annuity (VA) applications to proceed without being reviewed by a supervisor led the Financial Industry Regulatory Authority Inc.,
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Dennis Wright, a former broker at Axa Advisors in Lewistown, Pa, has been charged by the Securities and Exchange Commission (SEC)

Ponzi Schemes

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