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  1. Articles

    NFL star Dwight Freeney sues BofA, adviser for $20 million

    Dwight Freeney accuses the firm and adviser Michael Bock of leading him into a massive scam. (Plus: 7 athletes who say they were duped by advisers)

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    SEC charges private-equity queen Lynn Tilton with fraud

    Regulator says self-proclaimed billionaire misled investors about the value of risky pools of corporate loans.

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    SEC shuts down ex-broker's attempt to start RIA from jail

    David Cacchione almost got a second chance at a career in the securities industry through a registered investment adviser.

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    Client losses total $44 million in 'Madoff of Main Street' case

    Jacob Cooper, founder of San Diego-based RIA Total Wealth Management, built his business to over $100 million in assets and more than 600 clients. Last week, a court-appointed receiver in a case brought by the SEC determined that more than $44 million of those assets are likely lost.

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    Bigger & Better

    Advisers with assets over $1 billion are outperforming their peers. Does your firm have what it takes to be a billion dollar baby?

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    Fraud does serious damage to investors – beyond monetary losses

    A Finra survey points to health, marital and trust problems resulting from financial scams.

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    Cash-heavy mutual funds take downside protection to the extreme

    Breakfast with Benjamin: Some funds using cash for protection. Lots of it. Plus: Adviser charged with stealing $1.3M from widows and church friends, up from the ashes arises a new subprime giant, and Wall Street courts millennials.

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    Morgan Stanley settles mortgage bond probe for $2.6 billion

    Breakfast with Benjamin: Plus: Buffet's opaque empire, Obama's regulatory plans and New York's efforts to keep its meat hooks in tax refugees.

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    Is OPEC about to flinch and cut oil production?

    Breakfast with Benjamin: OPEC might be rethinking their strategy of flooding the market with oil to crush the fracking industry.

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    For rogue advisers, it's thirty strikes, but not out

    Only penalties that make repeat offenders in the financial arena feel serious heat will deter illegal behavior.

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    SEC's Michael Piwowar slams Finra data-collection proposal

    Republican Piwowar criticizes Finra's plan for a massive brokerage data collection mechanism, asking whether it's a "solution in search of a problem."

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    Senator says advisers need more protection in reporting elder financial abuse

    Federal privacy laws should be clarified to protect financial advisers who tell authorities about suspected financial exploitation of the elderly, a Senate leader on senior issues said Wednesday.Sen. Susan Collins, R-Maine, chairwoman of the Senate Aging Committee, said giving safe harbor to

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    Password managers are a powerful tool in the fight to fend off cyber crooks

    Breaking down how password managers actually work, plus details on three good options for advisers to consider

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    Grant Thornton resigns as auditor for eight Schorsch-linked nontraded REITs

    The accountant for eight nontraded REITs managed by Nicholas Schorsch's privately held real estate manager, American Realty Capital, has resigned.

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    American Realty Capital Properties hit by lawsuit from institutional investors

    New York City Retirement Systems, TIAA-CREF join group of investors alleging ARCP misrepresented the company's business, "engaged in a scheme to deceive the market and a course of conduct that artificially inflated prices of American Realty securities.”