NASAA Extends Comment Period on Proposed Non-Traded REIT Policy Revisions

August 5, 2022

National Securities Closes Down

August 1, 2022

Opinion: SEC & Regulatory Overreach – Nondelegation Doctrine

July 28, 2022

FINRA Suspends and Fines Former Schwab Broker for Failing to Disclose Felony Charges

July 27, 2022

Equitable Financial to Pay $50 Million to Settle SEC’s Fraud Charges

July 22, 2022

Jaime Lizárraga Sworn in as SEC Commissioner

July 19, 2022

FINRA Bars Two Individuals for Cheating on Online Qualification Exams

July 18, 2022

SEC Obtains Judgment Against Attorney Charged with Multi-Million Dollar Offering Fraud

July 15, 2022

NASAA Seeks Public Comment on Proposed Non-Traded REIT Policy Revisions

July 13, 2022

SEC Charges Former LPL Broker with Stealing $1.7 Million from Retail Investors

July 5, 2022

Mark Uyeda Sworn in as SEC Commissioner

July 1, 2022

CFP Board Suspends Broker Accused of Violating Reg BI with Improper GWG Bond Sales

June 30, 2022

FINRA Fines United Planners over GPB Fund Sales

June 27, 2022

DOL Proposes Revised Definition of “Fiduciary”

June 27, 2022

FINRA Orders National Securities to Pay $9 Million for Multiple Violations, Including GPB Sales

June 24, 2022

SEC Alleges Western and Five Brokers Violated Reg BI with Improper GWG Bond Sales

June 17, 2022

SEC Charges Three Advisers for Recommending Multi-Million-Dollar Ponzi to Clients

June 15, 2022

Schwab Subsidiaries to Pay $187 Million for Misleading Robo-Adviser Clients

June 14, 2022

Opinion: The SEC’s Tyrannical Gag Orders

June 8, 2022

Former Broker Sentenced to Six Years in Prison for Embezzling Millions from Pension Plan

June 7, 2022