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Cetera Advisors charged with defrauding clients
SEC said firm failed to disclose conflicts of interest related to more than $10 million in compensation.
SEC charges advisory firm, executives with defrauding injured NFL players
The players were part of a class-action lawsuit over concussion-related brain injuries.
SEC imposes $8.4 million penalty on digital coin issuers
Dallas-based Bitqyck and its founders were charged with fraud and offering unregistered securities.
Reg BI creates certainty and provides investors with a choice
The Securities and Exchange Commission's new regulation takes effect June 30, 2020.
Debate on crypto oversight intensifies as SEC clashes with Facebook over Libra
The agency has taken a more pro-regulatory tone than many expected
SEC upholds Finra bar despite recent Supreme Court ruling
Agency said high court's decision in Kokesh only applies to monetary sanctions.
Investment adviser arrested and charged in $105 million securities fraud
Brenda Smith of Philadelphia is also facing SEC civil charges that she lied about the performance of her fund, Broad Reach Capital.
SEC bars Financial Sherpa head for cherry-picking trades
James L. Beyersdorf also will disgorge $232,000 and pay $189,000 in fines.
SEC affirms its authority over proxy advisory firms that CEOs hate
Commissioners vote 3-2 to issue guidelines on fund managers' responsibilities in dealing with proxy advisers
Cost to play bigger role in investment recommendations
Large firms are well-situated to comply with the cost standards in the SEC's Reg BI given changes they made to prepare for the DOL fiduciary rule.
Broker barred for excessive trading that cost clients $1.8 million
Gregory T. Dean had admitted guilt a few weeks ago in a different case brought by the SEC.
SEC draws ire with indexed annuity misstep
The regulator issued an investor bulletin about indexed annuities that instead described a different product — a buffer annuity.
Brokerage industry groups dominate campaign spending out of the gate for 2020 cycle
Political donations cross the aisle as lobbyists try to make friends on both sides.
SEC charges California RIA with defrauding clients
Craig Rumbaugh and his firms secretly received 5% commission on $3 million invested by clients.
SEC wins trial against former broker on insider trading charges
Raymond J. Pirrello Jr. part of group that shared illicit trading profits
New SEC videos aim to help investors identify brokers vs. investment advisers
Videos criticized for glossing over details of business models, conflicts.
SEC fines Canaccord $250,000 for trading securities without required review
Regulator says New York B-D's compliance associate had no training to perform duties.
Decision on Bitcoin ETF put off again by SEC
Regulator delayed verdict on two applications until October.
SEC charges Massachusetts RIA with fraud
Commission says Richard Duncan persuaded two clients to invest $300,000 in a scam.
CFP Board defends its enforcement program
The group disagrees with some of the Wall Street Journal's criticisms, but also notes steps it has taken to improve its disclosures.
