Displaying 3266 results
Supreme Court to review appointment of SEC’s in-house judges
The decision could affect more than 100 cases currently at the SEC, along with a dozen that are on appeal.
Finra warns brokers about moving clients from broker to advisory accounts
In 2018 exam priorities, regulator says not to sell clients high-fee products and then move them into advisory accounts.
Massive investment fraud fueled by slick marketing, hot dinners
When advisers make the claim that an investment product has no risk and is crash proof, it is a clear, almost blazing red flag that the investment is a potential fraud.
SEC censures Arizona RIA for false ADVs
Mark Love and firm to pay $100,000 for failing to disclose fund tie.
State regulators warn investors about cryptocurrency dangers
Securities and Exchange Commission members also reiterate their concerns about virtual money.
Time for SEC to take fiduciary baton from DOL
The SEC likely will adopt the DOL's definition of fiduciary, and put a rule in place by the end of 2019.
What to expect on the regulatory front in 2018
Senior reporter Mark Schoeff Jr. speaks with Investment Adviser Association CEO Karen Barr about what's to come now that the SEC has a full commission, including how the agency might proceed on its fiduciary rule.
Fake comments hit regulators seeking input on proposed rules
Fraudulent posts criticize the DOL fiduciary rule, and other groups overseeing advisers are similarly vulnerable.
J.P. Morgan fined $2.8 million for clearing errors
Finra says Bear Stearns' flawed system led to securities segregation issues
Merrill Lynch fined $26 million over suspicious transactions
SEC and Finra say firm failed to implement reasonable anti-money laundering procedures.
New DOL, SEC officials help advance fiduciary rule work
Senate confirms Preston Rutledge to key Labor Department role, while Hester Peirce and Robert Jackson Jr. join SEC as commissioners.
SEC charges Woodbridge Group with running $1.2 billion Ponzi scheme
Bankrupt real estate developer and its founder, Robert Shapiro, accused of targeting 8,400 investors.
Two more bitcoin ETFs test luck with SEC
The GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF would trade on the Cboe BZX exchange.
SEC charges Washington state RIA with multi-million dollar fraud
Regulator says Ronald Fossum Jr. misappropriated assets and lied to investors.
SEC charges Indiana RIA with misleading investors
Agency orders Louis Mohlman Jr. to pay $100,000 in civil penalties.
SEC bars New York adviser for fraud
Justin D. Meadlin will pay more than $300,000 for inflating firm's AUM, touting nonexistent fund.
Regulators showing renewed interest in cracking down on investment fees
SEC, Finra targeting high-fee share classes, 12b-1 fees and failure to give sales load discounts and waivers to investors.
SEC charges Connecticut hybrid with fraud
Agency says Westport Capital's clients lost $1 million through inflated stock buys.
Jay Clayton issues cryptocurrency warning
SEC chairman urges investors to use common sense, market pros to mind securities laws.
SEC charges former Philadelphia broker with fraud
Paul Smith allegedly raised $2.35 million without telling his broker-dealers.
