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In some cases, applicants claimed they’d gained years of experience in just a few days, or that their annual incomes increased less than one day after a prior application had been denied.
The Massachusetts secretary of the commonwealth said the alleged actions by Vanguard and others left smaller investors vulnerable to increased risk and larger tax liabilities.
According to the commission’s complaint, Florida-based former advisor and broker German Nino made numerous unauthorized transfers, allegedly using the money to purchase gifts and to pay back a prior victim’s misappropriated funds.