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CFP Board Kicks Out Alleged Child Pornographer

The CFP Board announced three suspensions, including one man charged with dealing child pornography, as well as a planner charged with vehicular manslaughter.

United statesChristopherj asherJason cookeVincent camardaExchange commissionEthics commissionAppeals commission for the boardCertified financial plannerPruco securitiesCitizen securitiesFinancial advisorsNew york basedAppeals commission

The SEC Sues Investment Advisory Firm in Connection with Alleged Failure to Disclose Revenue Sharing and Other Financial Conflicts, as Well as Converting Clients to Wrap Accounts Without Considering Whether it is in Clients Best Interests | Faegre Drinker Biddle & Reath LLP

In recent years, the SEC has been conducting a nationwide and industry-wide “sweep” of investment advisory firms, pursuant to which it has opened investigations and brought enforcement.

United statesUnited kingdomRobertw landaasMatter of landaas companyCambridge investment research advisors incCambridge investment research incUnited states department of laborInvestment advisors incFaegre drinker biddle reathFinancial advisors incMatter of kestra private wealth servicesMatter of pruco securitiesMatter of hancock whitney investment services incFaegre drinker biddleCambridge investment research advisorsCambridge investment research

City National Rochdale settles SEC disclosure case for $30M

The regulator didn’t provide any explanation for the much larger payout, but it did release another similar settlement the following day.

United kingdomUnited statesCory jarvisMelissa hodgmanBrian rubinSimon hoyleEversheds sutherlandDebora vranaAdvisor educators financial servicesCity national rochdaleCity national bankCity nationalHenschen associatesWells fargoAmeritas advisory servicesNational rochdale

Naples Firm Vernon Litigation Group And Kristian Kraszewski, Esq File Arbitration Claim Where Pruco Securities Broker Brian Scot Kazinec Borrowed From Client Investments

/PRNewswire/ Vernon Litigation Group, based in Naples, Florida, and Kristian Kraszewski, Esq., have teamed up to represent an investor whose Pruco.

United statesChris vernonBrian scot kazinecKristian kraszewskiVernon litigation groupPruco securitiesVernon litigationBanking amp financial servicesLegal issues

Naples Firm Vernon Litigation Group And Kristian Kraszewski, Esq File Arbitration Claim Where Pruco Securities Broker Brian Scot Kazinec Borrowed From Client Investments

/PRNewswire/ Vernon Litigation Group, based in Naples, Florida, and Kristian Kraszewski, Esq., have teamed up to represent an investor whose Pruco.

United statesChris vernonBrian scot kazinecKristian kraszewskiVernon litigation groupPruco securitiesVernon litigationBanking amp financial servicesLegal issues

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