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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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Investment adviser firms’ growing use of outside chief compliance officers has prompted the U.S. Securities and Exchange Commission to identify
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Generating fees for the firm and unregistered advisers has been deemed unethical behavior by the commonwealth of Massachusetts. According to
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The Securities and Exchange Commission targeted multiple types of fraudulent behavior this year as it filed a record high of
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The Securities and Exchange Commission (SEC) is cracking down on advisers who can access their clients’ employer sponsored retirement accounts.
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Five broker-dealers have been ordered by the Financial Industry Regulatory Authority to pay more than $18 million in restitution for
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UBS AG, a Swiss global financial services company, was ordered by the Financial Industry Regulatory Authority Inc. (FINRA) to pay
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In scenes reminiscent of a spy movie, a Brooklyn, New York, mortgage broker showed secret tips written on Post-it notes
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Dawn J. Bennett, founder of Bennett Group Financial Services in Washington D.C. and host of the radio show, “Financial Myth
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The Financial Industry Regulatory Authority Inc. (FINRA) recently barred 10 brokers for moving from one problem securities firm to another
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Here we go again. Responding to the latest round of claims against former Morgan Stanley broker Steven Mark Wyatt, a

Ponzi Schemes

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