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tay abreast! Our alerts are designed to improve your knowledge of current developments affecting securities brokers, financial planners and investors.

Investigation Of Rosand Enterprises And Robert Anderson Of Illinois Launched Following SEC Ponzi Scheme Charges
ETF Model Portfolios Investigated
SNSFE Investigates Neal Greenberg And His Hedge Funds Following SEC Complaint
UBS Securities Whacked By $81 Million Award Relating To Sale Of Auction Rate Securities
Institutional Customer Braintree Laboratories Sues Citigroup for $33 Million In Auction Rate Securities
Morningstar Issues Red Flag Alert for Three Mutual Funds (Vanguard Capital Value, Fidelity Pacific Basin and Fidelity Convertible Securities)
Merrill To Pay $26.5 Million Fine Over Unregistered Salespeople
FINRA Fines NEXT Financial Group For Supervisory Failures That Led To Churning and Excessive Commissions In Customer Accounts
FINRA Fines Ameritas Investment Corp. For Inducing Customers To Take On Additional Mortgage Or Home Equity Debt to Buy Securities
FINRA Fines Firms For Supervisory Deficiencies Relating To Variable Annuity, Mutual Funds and Unit Investment Trusts
SIFMA Will Support Proposal to Hold Brokers To A Fiduciary Duty
FINRA Fines Wachovia Securities $1.4 Million for Prospectus Delivery Failures and Related Supervisory Violations
Oppenheimer Funds Probed by 5 States for Losses in 529 Plans










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