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Investment Adviser

Most Recent Posts in Investment Adviser

Mar 23, 2022 Michael Knittel Suspended for Undisclosed Private Securities Transaction
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Mar 18, 2022 Former Wells Fargo & LPL Financial Broker Mario Rivero Arrested for Stealing $680,000 From Clients
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Oct 18, 2021 Raymond James' Mark Boucher Criminally Charged in $2 Million Fraud
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Jul 31, 2021 SEC Finds Fiduciary Duty and Suitability Failures in Wrap-Fee Program Recommendations
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Sep 11, 2020 Stifel Nicolaus Broker Steven Rodemer to Pay $385,536 to Settle SEC Claims He Scammed Elderly Widow
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Mar 25, 2020 Margin Trading and Complex Leveraged Products Could Amplify Losses During Coronavirus Commotione
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Mar 29, 2019 JWE Investigating Brokers Who Sold Future Income Payments (FIP) in $300 Million Ponzi Scheme
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Feb 24, 2016 Aequitas Capital Note Disaster Serves as Reminder of Importance of Advisors Performing Due Diligence
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Jan 30, 2014 SEC Issues Risk Alert Criticizing Advisors' Handling of Alternative Investments
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