Seven US states sue regulator over client transparency policy
They argue that retail clients are still exposed to potential harm
SEC
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US SEC and lawyers seek more time in case against ex-DeVere duo
Request for information submitted to Malta’s attorney general by counsels for the defence
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Financial adviser charged with $43m fraud in the US
He stole funds that were supposed to be invested in Native American tribal bonds
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US regulator tightens rules on adviser transparency
Retail investors will be made fully aware of the costs and choices available to them
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American investment adviser charged with fraud
Clients were charged more than $350,000 in excess ‘fees’
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Fraudster jailed for 50 years over $1.5bn Ponzi scheme
SEC also files an emergency action charging a New York real estate investor with fraud
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Two former directors of US firm arrested for fraud
Company had already been fined $1bn for running a Ponzi scheme
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Advisory firm boss charged with stealing $6m
He also defrauded investors by inflating their bills
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US regulator stops retail investment scheme
SEC alleges that in the past year investors have been defrauded out of $3.6m
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US firm fined $1bn for running a Ponzi scheme
Emergency action filed by US regulator after 8,500 retail investors were defrauded
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Australian regulators in gifts and hospitality scandal
Asic received presents from companies that, at the time, were subject to investigations
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Celebrities hit with first US initial coin offering fines
Boxer Floyd Mayweather and music producer DJ Khaled failed to disclose payments to endorse ICOs