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Securities Fraud Blogs from February, 2021

Most Recent Posts from February, 2021

Feb 27, 2021 Scott Hansen Sanctioned for Unapproved Will and Trust for Elderly Customer, Threatening Family After Client's Death
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Feb 24, 2021 VALIC Financial Advisors Fined $350,000 for Variable Annuities Failures After Prior $1.75 Million Fine
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Feb 22, 2021 Wells Fargo's Scott Reed Barred After Selling $3.5 Million of Web/Software Investments Away from Firm
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Feb 18, 2021 Andrew Perona Sanctioned for Taking Clients' Personal Information to New Firm Without Consent
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Feb 11, 2021 FINRA Fines Triad Advisors $150,000 Over Poor Mutual Fund & Variable Annuity Switches That Resulted in Customer Losses
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Feb 10, 2021 My Financial Girlfriend CEO Lisa Brumm Sanctioned for Unsuitable Variable Annuity Recommendations
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Feb 8, 2021 SEC Charges GPB Capital Holdings, Ascendant Capital, with $1.7 Billion Ponzi Scheme Defrauding 17,000 Retail Investors
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