IAA 1940 Rule 206
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SEC bans ex-Merrill Lynch broker over fake fund scheme
The penalty also highlights the dangers of brokers using unapproved channels to communicate with prospective clients.
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DOJ, SEC charge ex-WAMCO CIO Ken Leech with fraud
The charges allege that Leech effectively siphoned money from unfavored portfolios into favored ones.
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SEC charges CEO and President of Synergy Settlement Services with fraudulent operation of special needs pooled trusts
Defendants allegedly used funds from deceased beneficiaries’ accounts on golf tournaments and beach parties.