SEC Reaches Final Judgments in Ponzi Scheme

August 16, 2023

Massachusetts Charges Purshe Kaplan with Failing to Supervise Dually-Registered Agents

February 22, 2022

Massachusetts Charges Accountant for Allegedly Selling Unregistered Investments

February 11, 2020

Massachusetts Securities Division Launches Sweep of Marijuana-Related Offerings

June 21, 2019

Massachusetts Regulators Charge Company in $10 Million Ponzi Scheme That Targeted Employees

June 17, 2019

Massachusetts Regulators Halt Million Dollar Real Estate Investment Scheme

June 12, 2019

Massachusetts Charges Adviser Over Failed Medical Marijuana Scheme

April 18, 2019

Massachusetts Charges Two Advisers for Making Unsuitable Energy Investments

March 21, 2019

Massachusetts Charges Former Commonwealth Adviser with Allegedly Stealing from Retiree

February 26, 2019

Massachusetts Fines United Planners and its Former Broker Over Alleged $1 Million Fraud

February 21, 2019

Massachusetts Regulator Fines Former Stifel Nicolaus Adviser for Overcharging Clients

December 27, 2018

Massachusetts Regulator Sweeps 63 Broker-Dealers Selling GPB Private Placements

September 13, 2018

Massachusetts Regulator Fines Infinex for Improper VA and REIT Sales

July 20, 2018

Massachusetts Charges Private Equity Investment Fund with Ponzi Scheme

March 19, 2018

DOL Fiduciary Rule Opponents Urge Appeals Court to “Vacate” the Rule

February 22, 2018