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Wunderlich and fired LPL broker part ways
Former star LPL broker and Houston branch manager James "Jeb" Bashaw is no longer joining Wunderlich Securities, and is also fighting back against LPL's allegations.
Former Stratton Oakmont broker charged with fraud
SEC says Anthony Coronati used phony tech investments to fund a Caribbean vacation and plastic surgery.
SEC hits record enforcement actions in fiscal 2014
Mary Jo White credits aggressive enforcement and technology, but some question her regulatory zeal.
Ex-Ameriprise adviser pleads guilty to stealing nearly $1 million
Susan Walker admitted to accusations she used $980,000 of client assets to pay for personal expenses, including vacations and private school tuition.
Altered docs land former Wells compliance officer in hot water
Judy Wolf, formerly with Wells Fargo, allegedly attempted to make it appear she adequately reviewed a broker later charged with insider trading. Plus, see 5 compliance lessons from recent SEC cases
Ex-Ameriprise adviser gets jail time for using client money to pay gambling debts
Oscar Donald Overbey, Jr., was sentenced to 3-1/2 years in federal prison and must repay more than $3 million in restitution from Ponzi.
Wall Street moles go to New York's top cop, spurning SEC cash
Whistle-blowers might rake in more by dealing with the feds, but they're frustrated by slow process.
Finra charges SWS with improper supervision of VA transactions
SWS Financial Services charged with green-lighting variable annuity applications without proper review for suitability.
SEC charges ex-Axa broker with running $1.5 million Ponzi
Dennis Wright allegedly stole money from at least 28 customers, including childhood friends and inexperienced investors.
The secret Goldman Sachs tapes
How one brave federal regulator got the goods on the New York Fed's hands-off policy toward Goldman.
WFG Investments facing $650,000 Finra 'global fine'
Comes on heels of another $200,000 penalty last year for missing a stock-fraud scheme
Yellen to the markets: Don't say you weren't warned
Midweek Breakfast with Benjamin: Yellen warned us. Plus: SEC probes Pimco ETF over asset pricing, America's 401(k)s are failing investors, and how Obama's attack on corporate inversions flunks basic math.
Man who ate tips pleads guilty to Grand Central insider scheme
A New York man admitted to illegally passing inside corporate information to a Morgan Stanley broker on notes at Grand Central Terminal, and then chewing and swallowing the evidence.
Bernie Madoff's son leaves more than $15M in his will
Andrew Madoff, the son of the convicted Ponzi schemer, lists $11M in personal property and $4.5M in improved real property.
SEC takes a hard stance on soft dollar abuses
The SEC recently announced sanctions against a broker-dealer in New York for ignoring red flags and making improper soft dollar payments to a San Diego-based registered investment adviser. The broker-dealer paid more than $400,000 to the RIA, even though the advisory firm failed to make full ...