FINRA Bars Merrill Lynch Broker Accused of Converting State Unemployment Funds

November 2, 2021

SEC Charges Adviser with Stealing $3 Million to Pay Off Credit Cards, Buy Gold Coins

October 29, 2021

Department of Labor Delays Fiduciary Rule Enforcement

October 28, 2021

Opinion: SEC Whistleblower Program Invites Abuse

October 14, 2021

SEC Obtains Final Judgment Against Longtime Broker Sentenced to 170 Months in Prison

October 13, 2021

SEC Committee Recommends Retail Investors Have “Wider Access” to Private Funds

October 8, 2021

SEC Chairman Discusses Commitment to Regulation BI in House Committee Meeting

October 6, 2021

NASAA Reports Increased Enforcement Actions Tied to Commodities, Digital Assets

October 4, 2021

SEC Charges Managing Director Who Bankrupted IFS Securities

October 1, 2021

SEC Charges Former Adviser with Stealing $1 Million from Three Elderly Clients

September 30, 2021

SEC Charges Former Raymond James Investment Advisor with Defrauding 100 Clients

September 27, 2021

Massachusetts Fines/Orders Overhaul of MML’s Social Media Policies after GameStop Frenzy

September 17, 2021

FINRA Bars Former Cambridge Broker for Allegedly Stealing Trust Funds

September 15, 2021

SEC Bars Adviser Accused of Defrauding Clients and Pro Athletes

September 8, 2021

SEC Obtains Final Judgment Against Adviser Accused of Defrauding Clients and Pro Athletes

September 2, 2021

Regulatory Overreach – Pushing Back Against the SEC and FINRA

September 1, 2021

SEC Sanctions Eight Broker-Dealers/RIAs for Deficient Cybersecurity Protection

August 31, 2021

SEC Chair Adds CFA Director of Investor Protection to Senior Staff

August 27, 2021

FINRA Bars Broker Accused of Stealing from Elderly Client

August 23, 2021

FINRA Alerts Firms to New Phishing Campaign Using Fraudulent Domain Names

August 16, 2021