The Advisor and the Widow
Real Life Regulators: Financial Fraud · NASAA
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Show Notes
Investigators and lawyers from the Connecticut Department of Banking’s Securities and Business Investment Division, discuss how an unscrupulous financial advisor took advantage of a widowed client and drained her investment account to pay down debt and spend on personal expenses, including limousines, expensive dinners and sporting events.
Produced by the North American Securities Administrators, Real Life Regulators is a podcast featuring investment fraud cases from the files of state and provincial securities regulators and discussing how these regulators bring financial con artists to justice.