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Massachusetts Fines MML Investors Services $250K For Failing to Supervise Ex-Broker Charles Evan
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Updated:
Investor Redemptions in Legion Strategies from Skybridge Capital Are Suspended
:
Updated:
Texas Bankruptcy Judge Approves New Chapter 11 Financing Option for GWG Holdings
:
Updated:
SSEK Law Firm Is Representing More Investors with GWG L Bond Claims Against Centaurus Financial
:
Updated:
UBS YES Customers of Houston Broker William Huthnance Are Pursuing $1.8M in Damages
:
Updated:
Former Clarity Capital Partners’ Kyle Chapman in Newport Beach Sold GWG L Bonds to Retail Customers
:
Updated:
Nelson Partners’ Liquidation Plan That Would Pay $50M to Skyloft Austin Investors Gets Final Court Approval
:
Updated:
Moloney Securities Brokers Shane DeSherlia and Dale Timmerman Allegedly Unsuitably Recommended GWG L Bonds to Illinois Retirees
:
Updated:
SEC Fines Aegis Capital $2.3M Over Allegedly Unsuitable Variable Interest Rate Structured Product Sales
:
Updated:
Customers of Ex-First Allied Securities Broker Chad Barancyk Are Requesting More Than $2.1M in Damages
:
Updated:
Ex-Joseph Stone Capital Broker Joseph Ambrosole Faces Excessive and Unsuitable Trading Allegations
:
Updated:
Spartan Capital Securities Broker James Pecoraro Suspended Following Excessive Trading Allegations
:
Updated:
Investors Who Worked with NI Advisors Broker Shirley Ank Wong, also of AK Advisors in Daly City, CA, Suffer GWG L Bond Losses
:
Updated:
Marc Cline, formerly of CFG Capital, Allegedly Recommended GWG L bonds to Florida Retirees
:
Updated:
Texas Investors Awarded $2.57M in Second FINRA Arbitration Win Against LPL
:
Updated:
Following SEC Charges Related To GWG L Bonds, CFP Board Suspends Western International Securities Broker Patrick Egan
:
Updated:
Ex-Summit Brokerage Services Financial Advisor Francis Velten Barred Following Churning Allegations in Elderly Customers’ Accounts
:
Updated:
Centaurus Recommended GWG Holdings L Bonds To Houston Investor Who Was Saving For Retirement
:
Updated:
Lawdragon Acknowledges SSEK Law Firm Partners and Securities Fraud Lawyers Kirk Smith and Sam Edwards In Their 2022 Leading Plaintiff Financial Lawyers List
:
Updated:
Ingram Financial Group’s Donna Seymour in Winter Haven Accused of Unsuitably Selling GWG L Bonds To Florida Retirees
:
Updated:
SEC Accuses Barred LPL Financial Broker Eric Hollifield of Misappropriating $1.7M From Retail Customers
:
Updated:
UBS Financial Ordered to Pay Punitive Damages in $1.3M Arbitration Ruling Over YES Strategy
:
Updated:
Investors of Nelson Partners’ Skyloft Austin May Be Owed At Least $74M
:
Updated:
UBS To Pay $25M To Settle SEC Charges Involving Its Yield Enhancement Strategy
:
Updated:
SSEK Law Firm Investigates Investor Losses Involving JPMorgan Chase Auto Callable Contingent Interest Notes Linked To The S&P GSCI® Crude Oil Index Excess Return
:
Updated:
Former Customers of Newbridge Securities Broker Betsy Whipple Pursue 7-Figure GWG L Bond Claim.
:
Updated:
SSEK Law Firm Is Investigating Cabot Lodge Securities Over GWG L Bond Sales
:
Updated:
Emerson Equity Wholesalers That Pitched GWG L Bonds Leave The Firm
:
Updated:
UBS Must Pay Over $2.5M to Yield Enhancement Strategy Investors
:
Updated:
Shomir Mukherjee, Western International Securities Broker in Los Angeles Allegedly Concentrated GWG L Bonds & Non-Traded REITs
:
Updated:
FINRA Fines National Securities $9M Over GPB Private Placement Sales
:
Updated:
SSEK Law Firm Investigates National Realty Investment Advisors Over Alleged $630M Investor Fraud
:
Updated:
Trinidad & Tobago Investor Files Northstar Financial Services (Bermuda) Claim Against Truist Investment Services
:
Updated:
NAV Advisors’ Marc Korsch in Sarasota, Florida Allegedly Sold GWG L Bonds to Customers
:
Updated:
SEC Accuses Western International Securities & Five Brokers Of Reg BI Violations Involving $13.3M in L Bond Sales
:
Updated:
Goldman Sachs Under Investigation by SEC Over ESG Funds
:
Updated:
Mexican Investors Allege That Infinex Investments Overconcentrated Their Assets In Northstar Financial Services (Bermuda)
:
Updated:
Centaurus Financial Broker Bill Burks Named in Several Customer Disputes
:
Updated:
SEC Recommends Receivership For GPB Capital Holdings
:
Updated:
Japanese Customers Of Bankoh Investment Services File 7-Figure Claim Over Northstar Financial Services (Bermuda) Losses
:
Updated:
Fired Berthel Fisher Broker Steve Cummings’ Customers Report Investment Losses
:
Updated:
Arizona Investor Alleges That Modern Wealth Management in Tucson Unsuitably Recommended GWG L Bonds
:
Updated:
Ameriprise Subsidiary RiverSource Fined $5M For Allegedly Improperly Switching Customers’ Variable Exchanges To Earn Commissions
:
Updated:
Cetera Investment Services Named in Chinese Couple’s 7-Figure Beechwood Bermuda Claim
:
Updated:
GWG Managing Broker-Dealer Emerson Equity Reports Possible Financial Woes
:
Updated:
Customer of Morgan Stanley Broker Thomas Bonds Files $5M Unsuitability Case
:
Updated:
Despite Red Flags, Centaurus Financial Allegedly Raised Cap for Selling L Bonds To Customers
:
Updated:
UBS Financial Services Ordered To Pay Yield Enhancement Strategy Customers Almost $4 Million
:
Updated:
Kansas City Retiree Files GWG L Bond Claim Against Titan Securities and Rodger Sprouse of Sprouse Financial in Lee’s Summit, MO
:
Updated:
Former UBS Broker Robert Turner in Waco, Texas May Have Stolen Over $17M From Customers
:
Updated:
Elderly Japanese Investors Pursue Northstar (Bermuda) Claim Against Bankoh and Yoko Farias of Pacific Century Investment Services in Honolulu
:
Updated:
Ex-NPB Financial Group Broker Neal Nakagiri is Facing More Than $700K in Customer Disputes
:
Updated:
Centaurus Financial Allegedly Unsuitably Recommended GWG Holdings L Bonds, Claims Another Texas Retiree
:
Updated:
SSEK Law Firm Investigates Financial Gravity Family Office Services Adviser Mark Williams in Carmel, CA Over Possible GWG L Bond Sales
:
Updated:
Claimant Says Cetera Investment Services Unsuitably Recommended NorthStar Healthcare Income, Healthcare Trust, and Griffin Realty Trust
:
Updated:
Texas Retirees Pursues 6-Figure GWG L Bond Claim Against Centaurus Financial
:
Updated:
Emerson Equity Broker Tony Barouti Facing $1.37M in GWG L Bond Claims
:
Updated:
FINRA Fines Berthel Fisher $100K Over Options Trades
:
Updated:
Former Customers of Calton & Associates Broker Paul Murphy Request Over $589K in Damages
:
Updated:
Barred Ex-Wells Fargo Broker Jeremy Fortner is Named in Nine Customer Disputes
:
Updated:
At Least 27,000 L Bond Investors Left At a Loss Following GWG Holdings’ Bankruptcy Filing
:
Updated:
Following GWG Holdings’ Chapter 11 Bankruptcy, SSEK Law Firm Steps Up Investigation of Brokerage Firms That Sold L Bonds
:
Updated:
SEC Sues Ex-Morgan Stanley Broker Shawn Good Over Alleged $4.8M Ponzi Scam
:
Updated:
GWG Holdings Files For Chapter 11 Bankruptcy Protection
:
Updated:
Ex-Transamerica Financial Advisors Broker Scott Allen Fries Ordered To Pay Over $747K For Allegedly Defrauding Investors
:
Updated:
SSEK Law Firm is Investigating Poor Performing High-Yield Bond Funds for Investors
:
Updated:
SSEK Law Firm Investigates Claims of Investor Losses Involving Grab Holdings, Ltd.
:
Updated:
SSEK Law Firm Investigates St. George’s Ltd. Losses For Investors
:
Updated:
UBS Financial Services To Pay YES Investors Almost $1.2M
:
Updated:
NI Advisors Sold GWG L Bond To Inexperienced Investor Who Suffered Losses
:
Updated:
GWG Holdings Expected To File For Chapter 11 Bankruptcy
:
Updated:
Central American Couple Pursues 6-Figure Northstar Financial Services (Bermuda) Claim Against Ocean Financial Services
:
Updated:
Dempsey Lord Smith, BD4IA, and Geneos Wealth Management Fined For Selling GPB Private Placements To Customers
by Samuel B. Edwards
:
Updated:
McNally Financial Services’ Recommendation of Lightstone Real Estate Income Trust Leads To Couple’s Losses
by Samuel B. Edwards
:
Updated:
Ocean Financial Services’ Recommendation of Northstar Financial Services (Bermuda) Leads to Six-Figure Loss for Houston Investor
:
Updated:
Another Mexican Investor Pursues JP Morgan Securities Over Omnia/Old Mutual (Bermuda) Losses
:
Updated:
Beechwood Bermuda Investor Seeks Up to $500K From Cetera and Broker Leo Li-Yuan Chien
:
Updated:
Ex-Kestra Broker Chadwick Collins’ Customers Seek Over $3.3M in Damages
:
Updated:
Ex-IFS Securities Broker Steven Schisler Barred Following Unsuitable Investment Recommendations
:
Updated:
Arizona Retirees Win $2.6M FINRA Arbitration Award Against First Allied Securities
:
Updated:
Former Wells Fargo Broker Mario Rivero Charged With $500K Investment Fraud
:
Updated:
Infinity Q Founder James Velissaris Accused of Over $1B Valuation Fraud
:
Updated:
Ex-Garden State Securities Broker Joseph DeGregorio Allegedly Defrauded Elderly Investors
by Samuel B. Edwards
:
Updated:
SSEK Law Firm Continues to Investigate Northstar Financial Services (Bermuda) Losses Involving East West Bank
:
Updated:
Advisor Group Broker-Dealers Facing $19.4M in GPB Capital Holdings Investor Claims
by Samuel B. Edwards
:
Updated:
FINRA Suspends Ex-Stifel Nicolaus Broker Andrew Elsoffer for Two Years
:
Updated:
Class Action Securities Lawsuit Filed Against GWG Holdings Over L Bond Losses
:
Updated:
Trusts of Late Investor Awarded $1.875M in UBS YES Case
:
Updated:
Appointment of Class Representatives in Northstar (Bermuda) and Omnia Liquidations Doesn’t Help Investors
:
Updated:
Ex-Worden Capital Broker William Athas Accused of Excessive Trading That Cost Customers $1.1M
:
Updated:
Massachusetts Charges Purshe Kaplan Sterling Investments Over Investors’ $2.3M in ETF Losses
:
Updated:
Investor Files Claim Against FSC Securities Over FS Energy and Power Fund & Northstar Healthcare REIT Losses
:
Updated:
MSC-BD Ordered to Pay Widow $221K Over GPB Private Placement Losses
:
Updated:
Emerson Equity Broker Tony Barouti May Have Sold GWG L Bonds to Customers
:
Updated:
GWG Holdings Defaults On $13.6M Owed To L Bond Investors
:
Updated:
Another Bankoh Broker Yoko Farias Customer Files Six-Figure Northstar Financial Services (Bermuda) Claim
:
Updated:
Number of Customer Disputes Involving Ex-Ameriprise Broker James Dunn Skyrockets
:
Updated:
Ex-Morgan Stanley Broker Darryl Cohen, Accused of Defrauding Pro Athletes, To Be Barred by FINRA
:
Updated:
Ex-Landolt Securities Broker Anthony Cottone Allegedly Misappropriated $2.8M of Client Funds
:
Updated:
SSEK Law Firm Investigates Investors’ Losses From GWG L Bonds Sold By Aegis Capital, Emerson Equity, and Many Others
:
Updated:
HIT REIT Investor Pursues Six-Figure FINRA Arbitration Claim Against NPB Financial
:
Updated:
GWG Holdings Misses $13.6M in Payments to L Bond Investors
:
Updated:
Fidelity Accused of “Lackadaisical” Vetting of Investors Wanting To Trade in Complex, Risky Investments
:
Updated:
Former UBS Broker German Nino Allegedly Stole $5.8M From Client
:
Updated:
Newbridge Securities Sold Hospitality Investors Trust To Customers
:
Updated:
Barred Wells Fargo Broker Scott Reed Accused of Selling Investments Without Firm’s Permission
:
Updated:
Suspended Delta Securities Broker Sean Casterline Allegedly Sold Away to Customers
:
Updated:
Senior Investors Say Seeman Holtz Reneged On Paying Them Millions
:
Updated:
UBS YES Clients of Broker William Cerf Want $16.5M in Damages
:
Updated:
Customers of Morgan Stanley Broker Michael Wagner Seek Over $20M in Damages
:
Updated:
Triad Advisors To Pay $195K Fine and More Than $510K in Restitution For LJM Fund Sales
:
Updated:
FINRA Fines Merrill Lynch $1.2M and $950K
:
Updated:
DOJ Sends Letter to GPB Ponzi Scheme Victims
:
Updated:
Customers of UBS Broker Roderick Von Lipsey Report UBS YES Losses
:
Updated:
McNally Financial Services Broker Mark Kemp Has Been Named in 11 Customer Disputes
:
Updated:
Former GPB Capital Holdings CEO David Gentile Sues The Alternative Asset Firm
:
Updated:
Ex-Worden Capital Markets Broker Mark Kolta Has Been Named in 26 Customer Disputes
:
Updated:
RBC Capital Markets to Pay $1M Over Unsuitable High-Yield Bond Concentration in Customer Accounts
:
Updated:
J.P. Morgan Fined $200M by SEC & CFTC Over Messaging and Communications Violations
:
Updated:
Ex-Parkland Securities Broker Keith Ashley, Who Is Accused of Murder, Faces FINRA Charges
:
Updated:
Two Wells Fargo Broker-Dealers to Pay $3.1M in FINRA’s UIT Investigation
:
Updated:
Ex-Ameriprise Broker James Dunn is Accused of Unsuitability, Unauthorized Trading
:
Updated:
SSEK Law Firm Investigates Losses Involving NorthStar Real Estate Investment Trust (Now N1 Liquidating Trust)
:
Updated:
SSEK Law Firm Client of Fired J.P. Morgan Securities Broker Ed Turley Wins $4 Million FINRA Arbitration Award
:
Updated:
Former Morgan Stanley Broker Jesus Rodriguez Is Barred by FINRA
:
Updated:
Retiree Files 7-Figure Northstar Financial Services (Bermuda) Claim Against Cetera
:
Updated:
Customers Accuse Ex-Cetera Broker Robert Wolfe of Unsuitability and Omissions
:
Updated:
MML Investors Services Broker Daniel Lauletta Named in $1M Customer Dispute
:
Updated:
Fired Edward Jones Broker Ronald Molo Accused of Defrauding Senior Customers
:
Updated:
Ex-Raymond James Broker Guilford Nergard Is Accused of Making Unauthorized Trades
:
Updated:
Investor Pursues $500K GPB Capital Claim Against TD Ameritrade
:
Updated:
GPB Capital Holdings Concludes Sale of Prime Automotive Group
:
Updated:
SSEK Law Firm Continues to Investigate Brokers Who Sold Hospitality Investors Trust
:
Updated:
Customers of Ex-Arkadios Capital Broker Marc Korsch Claim $2.8M in Damages
:
Updated:
Aegis Capital To Pay $2.75M For Churning in FINRA Case
:
Updated:
SSEK Law Firm Continues to Investigate Hancock Whitney Broker Robin Platt Over Investors’ Northstar Financial Services (Bermuda) Losses
:
Updated:
FINRA Bars Fired Cambridge Investment Research Broker David Melilli Over Alleged Unauthorized Trading
:
Updated:
Moody National REIT II Announces Postponement of Valuation of Shares
:
Updated:
Cetera Advisors Broker Jeffrey Meyers Accused of Making Unsuitable REIT Investment Recommendations
:
Updated:
FINRA Bars Ex-Wells Fargo Broker James Seijas Who Is Accused In More Than $33M Ponzi Scam
:
Updated:
Ex-Worden Capital Management John Cangialosi Ordered to Pay $271,622 in Customer Restitution
:
Updated:
SEC Accuses Fired Wells Fargo Broker Kenneth Welsh of Stealing Nearly $3M From Customers
:
Updated:
Utah Retirees File Six-Figure GBP Investor Claim Against Woodbury Financial Services
:
Updated:
Ex-Western International Securities Broker Megurditch Patatian Allegedly Unsuitably Recommended Non-Traded REITs to Investors
:
Updated:
Former Worden Capital Broker Allan Montalbano Faces $543K Unsuitability Case For Broker Negligence
:
Updated:
Former LPL Financial Broker James Couture Rejects Plea Deal Over Misappropriation Allegations
:
Updated:
Florida Retirees File $2.5M FINRA Arbitration Case Against Henley & Co. Over Alleged Ponzi Scam Losses
:
Updated:
FINRA Probes Broker-Dealers’ Activities Related to SPACs
:
Updated:
Customers of Western International Securities Broker Peter Steege Allege Unsuitability
:
Updated:
More Customers Say UBS Broker Brian Donaldson Unsuitably Recommended Yield Enhancement Strategy
:
Updated:
GPB Capital Founder David Gentile Claims Firm Owes Him Millions of Dollars
:
Updated:
SEC Files Fraud Charges Against Barred Broker Michael Shillin Who Is Named In 37 Disputes
:
Updated:
Investors Accuse Ex-Forta Financial Group Broker Gregory Williams of Broker Misconduct
:
Updated:
UBS to Pay More Than $1.1M in Two Yield Enhancement Strategy Cases
:
Updated:
Customer of Ex-Raymond James Broker Alberto Valdes Claims Northstar Global Advantage Select Losses
:
Updated:
Mexico Investors File $500K Northstar Financial Services (Bermuda) Claim Against Wells Fargo Clearing Services
:
Updated:
SSEK Law Firm Files FINRA Arbitration Claims Against J.P. Morgan For Customers of Fired Broker Ed Turley
:
Updated:
Central American Retiree Suffers Six-Figure Loss After Truist Investment Services Unsuitably Recommends Northstar Financial Services (Bermuda)
:
Updated:
Elderly Chinese Retiree Files Six-Figure PB Investment Holdings Case Against Cetera Investment Services
:
Updated:
Ex-Oppenheimer Broker John Woods Accused of Running $110M Horizon Private Equity III Ponzi Scam
:
Updated:
Ex-Voya Financial Advisors Broker Ronnie Metcalf Faces Over $6.5M in Current Customer Disputes
:
Updated:
Former CFD Investments Broker Dana Vietor Facing Over $3M in Customer Complaints
:
Updated:
American Trust Investment Services Broker Austin Dutton Named in 26 Investor Disputes
:
Updated:
GPB Capital Sells Prime Automotive Group Dealerships for $880M
:
Updated:
Customers Accuse Fired Ameriprise Broker Ted Cadwallader of Making Unsuitable Investment Recommendations
:
Updated:
Representatives To Be Appointed For Each Investor Class in Northstar Financial Services (Bermuda) Liquidation Proceedings
:
Updated:
Sin Respuestas De La Corte En Cuanto al Reembolso de Activos – Representantes de Cada Clase de Inversionistas Serán Nombrados En Los Procedimientos de Liquidación de Northstar Financial Services (Islas Bermudas)
:
Updated:
Northstar Financial Services (Bermuda) Owner Greg Lindberg Sued by Puerto Rican Insurer for $524M
:
Updated:
SEC Investigates Ex-MVP American Securities Broker Mike Shustek Over REIT Investors’ Losses
:
Updated:
Tokyo Investors File $500K Northstar Financial Services (Bermuda) Arbitration Claim Against UnionBanc Investment Services
:
Updated:
Customers of Former Worden Capital Management Broker Christ Baltas Request Over $614K in Damages
:
Updated:
SSEK Law Firm Continues to Investigate Former J.P. Morgan Broker Ed Turley
:
Updated:
SEC Accuses SPAC Stable Road Acquisition Company and Others of Misleading Investors
:
Updated:
SSEK Law Firm Wins $400K UBS YES FINRA Arbitration Award For Investors
:
Updated:
Former LPL Financial Broker Kevin McCallum Facing Over $4.8M in FINRA Arbitration Claims
:
Updated:
Chinese Retiree Pursues Up To $500K From Cetera Over PB Investment Holdings Losses
:
Updated:
Ex-SagePoint Financial Broker Grant Birkley Faces $2.3M of Investor Fraud Claims
:
Updated:
Customers of Ex-Aegis Capital Broker Scott Hananel Claim Investment Losses
:
Updated:
Customers of Vanderbilt Financial Broker Jeffrey Gitterman Seek Damages for Unsuitable Investments
:
Updated:
$500K Northstar Financial Services (Bermuda) Claim Brought Against Truist Investment Services by Venezuelan Investors
:
Updated:
Brokerage Firms With History of Misconduct Will Have To Put Money Aside for Investor Claims
:
Updated:
Did GPB Capital Holdings Executives Improperly Use Investors’ Money To Fund Personal Spending?
:
Updated:
Inappropriate COVID-19 Loan Applications Led To FINRA Sanctions for Brokers From Wells Fargo, J.P. Morgan Securities, and Merrill Lynch
:
Updated:
Senior Customer of Ex-NYLIFE Securities Broker Felix Chu Seeks Over $5M in Ponzi Scam Losses
:
Updated:
Benefit Street Partners Realty Trust to Merge With Capstead Mortgage Corp.
:
Updated:
Another Ex-Worden Capital Management Broker, Joseph Todaro, is Accused of Excessive Trading
:
Updated:
American Trust Investment Services Broker David Geake Is Facing Over $500K in Unsuitability Claims
:
Updated:
Florida Retiree Files $500K REIT Arbitration Case Against Securities America
:
Updated:
South American Retirees File $5M Northstar Financial Services (Bermuda) Investor Claim Against Raymond James & Associates
:
Updated:
Sanctuary Wealth To Pay $530K Over Alleged Supervisory Failures Involving Exchange-Traded Fund Sales
:
Updated:
UBS Financial Services Settles SEC Charges Over Exchange-Traded Products Compliance Lapses for $8M
:
Updated:
NEXT Financial Group Reaches $750K Settlement Over Allegedly Unsuitable Short-Term Trading of Puerto Rico Bonds and Class A Mutual Funds
:
Updated:
Ex-Morgan Stanley Broker Francisco Valenzuela is Named in $500K Investor Claim Alleging Unsuitability
:
Updated:
Former LPL Broker Paul McGonigle is Accused of Defrauding Investors
:
Updated:
As July 26th Hearing Date Approaches, SSEK Law Firm Continues To Investigate Northstar Financial Services (Bermuda)
:
Updated:
SSEK Investigates Claims That Charles Schwab Recommended Advisory Firms Market Vida Longevity Fund To Customers
:
Updated:
Securities America Advisors Fined $1.75M For Allegedly Failing to Protect Customers From Ex-Broker Hector May Who Stole $8M
:
Updated:
J.P. Morgan Securities’ Recommendation of Old Mutual Bermuda Causes Mexican Investor To Suffer Six-Figure Loss
:
Updated:
David Lerner Associates Unsuitably Recommended Energy Resources 12 and Energy 11 To Disabled Widower
:
Updated:
Japanese Investor Says Bancwest Investment Services Recommendation Northstar Financial Services (Bermuda) Caused Six-Figure Loss
:
Updated:
FINRA Bars Worden Capital Management Broker Salvatore Pizzimenti Following Churning Allegations
:
Updated:
David Lerner Associates Broker Martin Walcoe May Have Sold Energy 11, Energy Resources 12, and SOAEX to Customers
:
Updated:
Merrill Lynch To Pay $11.6M To Settle FINRA Case Over Unsuitable Unit Investment Trust Rollovers
:
Updated:
Hospitality Investors Trust Files For Chapter 11 Bankruptcy Protection
:
Updated:
Sigma Financial is Facing $4.5M in Possible Damages from Customer Claims Arbitration
:
Updated:
Lion Street Financial Broker Richard Baer Named in Disputes Seeking $1.85M in Damages
:
Updated:
Barred Mutual of Omaha Broker Edward Matthes Gets Over 5 Years in Prison For Investor Fraud
:
Updated:
SSEK Law Firm Continues to Investigate Broker-Dealers That Sold Northstar Financial Services (Bermuda) Products
:
Updated:
Customers of Ameriprise Financial Services Broker Kevin Houser Seek $1.6M in Alternative Investment Losses
:
Updated:
Truist Investment Services Broker Stephen Berrocal Recommended Northstar Financial Services (Bermuda)
:
Updated:
Former Cetera Advisors Network Broker David Rockwell Sentenced To Prison For Fraud
:
Updated:
Japanese Customers of Bankoh Investment Services Broker Yoko Farias Suffer Six-Figure Northstar Financial Services (Bermuda) Losses
:
Updated:
Ex-Madison Avenue Securities Broker Jeffrey Dixson Named in Numerous GPB Investor Fraud Claims
:
Updated:
Ex-Cetera Advisors Broker Mark Barrand Accused of Making Unsuitable Investment Recommendations
:
Updated:
Florida Retiree Pursues Six-Figure Energy 11 Investor Fraud Claim Against David Lerner Associates
:
Updated:
FINRA Suspends Ex-MML Investors Services Broker Adam Belardino
:
Updated:
Northstar Financial Services (Bermuda) Investors Seek Up to $500K in Damages from SunTrust Bank Division, Truist Investment Services
:
Updated:
Old City Securities Broker Gregory Hersch is Named in $1.4M FF Fund I Investor Fraud Claim
:
Updated:
Ex-Wells Fargo Broker Ramon Herrera is Sentenced For Defrauding 40 Investors
:
Updated:
Ongoing Concerns About GPB Auto Group’s Ability to Survive
:
Updated:
Latin American Investor Files Six-Figure Northstar (Bermuda) Fraud Claim Against Truist Investment Services
:
Updated:
Ex-Customer Of Unionbanc Investment Services Broker Asako Thompson Files $500K Northstar Financial Services (Bermuda) Fraud Claim
:
Updated:
Ex-Cetera Investment Services Broker May Have Unsuitably Recommended Northstar Financial Services (Bermuda) to Customers
:
Updated:
Ex-LPL Financial Broker Matthew Clason Pleads Guilty To Defrauding Elderly Investor of $600K
:
Updated:
Ex-SagePoint Financial Broker Dan Dillard Sold GPB Private Placements to Customers
:
Updated:
O.N. Equity Sales Fined $1.3M Over Broker’s Unsuitable Investing Strategy
:
Updated:
Customer of UBS Broker Andrew Burish Seeks $23M Over Tesla Stock Losses
:
Updated:
Brokers May Have Unsuitably Recommended Lodging Fund REIT III
:
Updated:
Bank Losses From Archegos Collapse Exceed $10B After UBS and Morgan Stanley Report $861M and $911M Losses, Respectively
:
Updated:
Retiree Who Worked With Ex-Kestra Investment Services Broker James Daughtry Seeks Up To $500K in Damages
:
Updated:
Customer Says David Lerner Associates Broker Lawrence Merl Unsuitably Recommended Energy 11, LP
:
Updated:
Northstar Financial Services (Bermuda) Investor Seeks Up to $5M in Damages from Hancock Whitney Investment Services
:
Updated:
Retirees Seek Up to $500K in Northstar Financial Services (Bermuda) Claim Against J.P. Morgan Securities
:
Updated:
Purshe Kaplan Pays $1.6M Settlement To 50 Investors
:
Updated:
UBS Ordered To Pay $371K Award to YES Strategy Customers
:
Updated:
Merger Folds KMS Financial, Investacorp, and Securities Services Under Securities America Banner
:
Updated:
Former Customers of SagePoint Financial Broker Christopher Bice Seek More Than $2M in Damages
:
Updated:
Northstar Financial Services (Bermuda) to Liquidate After Extension Request Denied
:
Updated:
Portland Investor Files $500K Private Placement Fraud Claim Against Western International Securities
:
Updated:
SSEK Law Firm Investigates Bankoh Investment Services Brokers Over Northstar Financial Services (Bermuda) Sales
:
Updated:
Former Principal Securities Broker John Krohn Involved in $39M in Investor Fraud Claims
:
Updated:
Cambridge Investment Services, Securities America, and JW Cole Financial Fined Over LJM Preservation & Growth Fund Recommendations
:
Updated:
Georgia Retiree Files Non-Traded REIT Fraud Claim Against MML Investors Services
:
Updated:
Archegos Capital’s Massive Forced Liquidation is a Hard Hit to Global Banks Credit Suisse, Nomura and Others
:
Updated:
Geneos Wealth Management Named in $1M GPB Investor Fraud Claim
:
Updated:
Ex-Merrill Lynch Broker Marcus Boggs Pleads Guilty In $3M Investor Fraud
:
Updated:
SSEK Law Firm Investigates Brokerage Firms That Sold New York City REIT to Customers
:
Updated:
Ex-Ocean Financial Services Broker Maria Calcena Named In Customer’s Northstar Financial Services (Bermuda) Fraud Claim
:
Updated:
Advisor Group Broker-Dealers Named in GPB Capital Fraud Claims Raised Their Legal Reserves
:
Updated:
SEC Accuses Texas-Based Investment Adviser APEG Energy of $17M Oil and Gas Fraud
:
Updated:
Customer Of UBS Brokers Mark Zeller and Scott Rosenberg Awarded Nearly $90K Over YES Strategy Losses
:
Updated:
Why SPACs Can Be A Poor Investment Choice For Retail Investors
:
Updated:
RBC Capital Markets Broker Brian Wurdemann Named in $1M Mutual Fund Case Alleging Misrepresentations
:
Updated:
Jubilado entabla reclamación de fraude por $500,000 contra Truist Investment Services por inversión en Northstar Financial Services (Islas Bermudas)
:
Updated:
UBS YES Strategy Customers Of Broker Jason Dworak Awarded Over $1M
:
Updated:
GPB Capital Notifies Investors of Independent Monitor But Denies Ponzi Fraud Allegations
:
Updated:
FINRA Bars Former LPL Financial Broker Rhett Bedwell Following Ponzi Fraud Allegations
:
Updated:
Retiree Files $500K Northstar Financial Services (Bermuda) Fraud Claim Against Truist Investment Services
:
Updated:
Atria Wealth Solutions to Acquire SCF Securities Which Sold GPB Investments
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Updated:
$1.8B Infinity Q Diversified Alpha Fund Stops Suspensions Following Fraud Allegations
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Updated:
Missouri and Illinois Fraud Lawsuits Say Ex-GPB Capital Holdings CEO and Ascendant Capital Owner Illicitly Made Over $40M in Over $1.7B Ponzi Scam
:
Updated:
Ex-David Lerner Associates Broker Charles Bonilla Suspended For Alleged Unsuitable Energy Investment Recommendations
:
Updated:
Former Janney Montgomery Scott Broker Apostolos Pitsironis Arrested For Defrauding Investors
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Updated:
Investor Blames David Lerner Associates Broker Glenn Werner For Investment Losses
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Updated:
JP Morgan Securities & Two Former Brokers Ordered to Pay $19M, Found Liable for Elder Financial Abuse
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Updated:
Triad Advisors To Pay $194K For Supervisory Failures Involving Short-Term Trading of Mutual Fund Class A Shares
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Updated:
NY Retiree Says David Lerner Associates Broker Mike Norton Sold Her Unsuitable Energy 11 Investment
:
Updated:
SEC Seeks Court-Appointed Monitor To Protect Investors Victimized In Mass GPB Capital Ponzi Scam
:
Updated:
Woodbury Financial Services Broker Robert Ginsberg Accused of Unsuitable Investment Recommendations
:
Updated:
New York And Other States Sue GPB Capital Holdings For Mass Ponzi Scam
:
Updated:
Investors Seek $600K in Negligence Claims Naming Money Concepts Capital Broker Ray Reese
:
Updated:
GPB Capital Fraud Case Against Arete Wealth Management Results In $515K Arbitration Award
:
Updated:
SEC Says GPB Capital Holdings CEO and Executives Defrauded Over 17,000 Investors In $1.7B Ponzi Scam
:
Updated:
Commonwealth Financial Network Broker Joseph Leonczyk Sold FS Energy and FS KKR Investments To Customers
:
Updated:
GPB Capital Principals Indicted
:
Updated:
Ex- CEO’s Lawsuit Against GPB Capital Holdings’ Prime Automotive Group May Proceed
:
Updated:
Triad Advisors Broker Darrin Cohen Under Scrutiny Over Possible GPB Private Placement Sales
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Updated:
Ex-MML Investors Services Broker Gary Hammond Accused of Making $1.6M In Unauthorized Transactions
:
Updated:
Investment Recommendations Don’t Always Equate To a Customer’s Best Interests
:
Updated:
GME, AMC, BB and Other High Flying Stock Losses
:
Updated:
Ex-Ameriprise Broker Angel Bardeche Accused of Earning $450K From Allegedly Unsuitable Mutual Fund Switches
:
Updated:
Customers Seeking $1.8M Over Investments Recommended By Western International Securities’ David Bibo
:
Updated:
Crown Capital Securities Broker Lanny Howarter Is Named in $600K Unsuitability Claim
:
Updated:
David Lerner Associates Broker Rafael Klein May Have Unsuitably Recommended Energy 11 To Investors
:
Updated:
FINRA Orders Worden Capital Management to Pay Over $1.5M For Brokers’ Churning
:
Updated:
LPL Financial Acquires Lucia Securities
:
Updated:
SunTrust Brokers May Have Unsuitably Recommended Northstar Financial Services (Bermuda) to Investors
:
Updated:
LPL Financial Fined $6.5M by FINRA Over Inadequate Supervision
:
Updated:
Utah Retirees Files $500K Investor Fraud Claim Over GPB & REIT Losses After Working With Triad Advisors & Broker Michael Payne
:
Updated:
Crown Capital Securities Broker Kenneth Barroga Under Scrutiny For Possibly Selling GPB Private Placements
:
Updated:
Transamerica To Pay $8.8M Over Unsuitable Mutual Fund, 529 Plans, and Variable Annuity Sales
:
Updated:
SEC Sanctions Voya Financial Advisors $23M Over Conflicts That Cost Customers
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Updated:
Ex-Merrill Lynch Broker Gets Eight Years in Prison For Investor Fraud
:
Updated:
Customers Blame Ex-Wells Fargo Broker Clearing Services Herbert Weith For Variable Annuity Losses
:
Updated:
Ex- NPB Financial Broker Cynthia Cowden Allegedly Recommended Investments That Were Too Risky For Senior Investors
:
Updated:
RBC Capital Markets Broker Joseph Chu Accused of Overconcentrating Customers’ Accounts in Oil and Gas Investments
:
Updated:
Broker Tamber Proctor Accused of Unsuitably Recommending FS Energy & Power Fund and the Northstar REIT
:
Updated:
Texas Retiree Files GPB Capital Fraud Claim Against Calton & Associates
:
Updated:
Municipalities’ Inability to Pay Bond Interest Places Investors in a Precarious Position
:
Updated:
Spirit of America Energy Investors May Have Grounds for Unsuitability Claims Against David Lerner Associates
:
Updated:
Coastal Equities To Pay $280K To Elderly and Retiree Clients Over Allegedly Unsuitable Trades
:
Updated:
Texas Wells Fargo Broker Kurt Gunter Is Sanctioned Over Allegedly Unsuitable UIT Sales
:
Updated:
OCC Orders JPMorgan Chase Bank to Pay $250M For Inadequate Risk Management Practices
:
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Brokers May Have Unsuitably Recommended ARC NYC REIT To Retail Investors
:
Updated:
Fired Morgan Stanley Brokers May Have Grounds for Wrongful Termination Claims
:
Updated:
New York Yankees’ Aroldis Chapman Files $3M Investment Fraud Claim Against Pro Management Resources
:
Updated:
Frontier Communications to Sell $2.8B of Junk Bonds as Part of Bankruptcy Exit
:
Updated:
Spartan Capital Securities Broker Joseph Kelly Is Accused of Making Unsuitable Investment Recommendations
:
Updated:
Royal Alliance, Securities America, & Other Firms To Pay $3M for Allegedly Unsuitable iPath S&P 500 VIX Short–Term Futures ETN & Other ETP Sales
:
Updated:
Hannes Financial Services’ Ronald Hannes Allegedly Defrauded Woodbury Financial Customers
:
Updated:
Not All Resource Real Estate Opportunity REIT Investors May Have Been Apprised of Risks
:
Updated:
Sierra Income Investors are Losing Money
:
Updated:
Multiple Investors Accuse Prime Capital Investment Advisors and Ex-Capital Securities Broker Luke Johnson of Unsuitable Investment Recommendations
:
Updated:
Global Investment Advisory Services’ Felipe Vargas is Named in Customer’s $1.3M Barclays Bank iPath Series B S & P 500 Short Term Futures ETN Claim
:
Updated:
Chinese Tycoon Sues UBS for $500M Over Losses Involving Margin Loan
:
Updated:
Customers of Peregrine Private Capital’s Robert Smith File GPB Investment Fraud Claims
:
Updated:
UBS YES Strategy Customers of Broker Eric Wittenberg Are Seeking at Least $1.8M in Damages
:
Updated:
UBS Recommended Noble Stock to Customers Until Company’s Bankruptcy
:
Updated:
Leo Financial Advisor and Pruco Securities Broker Robert Luley Allegedly Unsuitably Recommended GPB Automotive to Customers
:
Updated:
Intrinsic Value Partners Co-Founder and Noble Capital Markets Broker Joseph Hain Faces Misrepresentations Allegations
:
Updated:
Investors Blame UBS Broker and Edinroc Financial Group Head Jose Cornide For Recommending YES Strategy
:
Updated:
Another Customer Files REIT Losses Claim Against Frank Briseno III of FSC Securities and Nettworth Financial
:
Updated:
Ex-SagePoint Financial Broker Troy Baily Sold Future Income Payments Securities to Investors
:
Updated:
Investors Have Lost Money in RW Holdings NNN Real Estate Investment Trust
:
Updated:
Customers Accuse Ex-Fortune Financial Services Broker Jonathan Freeze of Alternative Investment Fraud
:
Updated:
Brokers Who Sold Vida Longevity Fund Investments May Have Made Misrepresentations and Omissions
:
Updated:
Former Benjamin & Jerrold Broker Rand Heckler Faces Elder Financial Fraud and Ponzi Scam Allegations
:
Updated:
Widow Blames David Lerner Associates, Broker Gary Isler For Retirement Losses
:
Updated:
SEC Says Fired LPL Financial Broker Stole $300K From 73-Year Old Retiree
:
Updated:
Barred Securities America Broker Jaime Westenbarger Faces Securities Fraud Allegations
:
Updated:
Investor Filed $150K GPB Private Placement Case Naming Capital Wealth Management Advisor Lee Duckworth
:
Updated:
FINRA Suspends Fired First Southern Securities Broker Jaime Sanchez Rivera
:
Updated:
Investors Seek $455K In Damages Involving National Asset Management Adviser Willard Pugh
:
Updated:
Ex-Kalos Capital Broker Curtis Whipple Accused of Unsuitability & Misrepresentation Involving UDF IV
:
Updated:
Florida Retiree Loses Money in GPB Private Placements & REITs While Under Supervision Of CFG Capital Management Advisor Mark Cline
:
Updated:
FINRA Bars Ex-Newbridge Securities Broker Marshall Isaacson Following Unsuitability Claims
:
Updated:
More Customers File Unsuitability Claims Against ex-HD Vest Investment Services Broker Michael Kamperman
:
Updated:
Monex Grupo Financiero Customers Lose $40M in Alleged Ponzi Scam
:
Updated:
Ex-GPB Capital Holdings CCO Pleads Guilty to Theft of Government Property
:
Updated:
Ex-UBS Broker and IHT Wealth Management Investment Advisor Frederick Kort Accused Of Unsuitable Investment Recommendations Involving Options Overlay Strategy
:
Updated:
Former Customer of Ex-Raymond James Broker Paul Steffany Wins $320K Award
:
Updated:
Frontier Communication Bonds Investors May Be Able To Recover Losses Through Broker Fraud Claims
:
Updated:
Ex-American Northcoast Securities Broker Dominic Tropiano Allegedly Defrauded ETF Investors
:
Updated:
FS Energy & Power Fund Investors Should Talk To A Broker Fraud Lawyer
:
Updated:
Arkansas Retiree Who Worked With Ex-LPL Financial Broker Rhett Bedwell Sues for $500K in Damages
:
Updated:
SEC Accuses Financial Advisor And Strategic Wealth Advisor Group of Stealing $2.2M From Senior Investors
:
Updated:
Brokers Unsuitably Recommended NorthStar Healthcare Income Non-traded REIT To Many Retail Investors
:
Updated:
Dallas Retiree Accuses UBS Of Unsuitably Recommending YES Strategy
:
Updated:
What Are The Risks of High-Yield “Junk” Bonds?
:
Updated:
SEC Says Joseph Stone Capital Broker Ross Barish Defrauded 16 Investors
:
Updated:
More Than 20 Investor Fraud Complaints Have Involved Ex-Morgan Stanley Broker Michael Paesano
:
Updated:
Morgan Stanley Wealth Management To Pay Over $949K for Inadequately Supervising Ex-Broker Kevin Gunnip
:
Updated:
Walter Valenzuela Is Another Kestra Investment Services Broker Facing Fraud Allegations
:
Updated:
My Stockbroker Breached Our Contract. What To Do Next?
:
Updated:
Investor Accuses Kestra Broker Stephen Curry in $7.7M FINRA Complaint
:
Updated:
Former Hilliard Lyons Stockbroker Christopher Bennett Named in 15 Securities Fraud Claims
:
Updated:
Concorde Investment Services Broker William Morrow Accused by Over A Dozen Investors of Stockbroker Fraud
:
Updated:
BDC Scorecard Portfolio Series 18 Losses Potentially Caused by Broker Negligence
:
Updated:
Dai Securities Broker Sold GPB Private Placements To Customers While At Previous Brokerage Firms
:
Updated:
Ex- Morgan Stanley Broker Pleads Guilty to $6M Investment Fraud
:
Updated:
Fired Ameriprise Broker Bryant Cavaness is Accused of Stockbroker Fraud & Ethics Violation Allegations
:
Updated:
Aegis Capital Broker Accused by Investors of Negligence, Unsuitable Investments and Unauthorized Trading
:
Updated:
GPB Capital Holdings Reports a Nearly $200M Drop In Assets Under Management
:
Updated:
First Western Capital Management Allegedly Placed Over $666M of Customers’ Money into Investments Reserved for Qualified Institutional Buyers
:
Updated:
Ex-NEXT Financial Broker Charles Kulch Accused of Overconcentrating Over 100 Massachusetts’ Investors in Risky REITs
:
Updated:
Northwestern Mutual Investment Services Fined $350K for Inadequate Supervision of Ex-Broker Sampson Pearson
:
Updated:
Ex-Merrill Lynch Brokers Charles Kenahan & Dermod Cavanaugh Investigated for Alleged Churning After Over $200M in Losses
:
Updated:
Despite $1.8B Ponzi Scam Allegations, GPB Capital Received Up to $7M in PPP Loans
:
Updated:
Customers Blame Newbridge Securities Broker Kerri Jamison For Investment Losses
:
Updated:
Once Again, GPB Capital Holdings Reneges On Giving Key Tax Documents to Investors
:
Updated:
Why Should Many San Francisco Investors Avoid Non-Traded REITs?
:
Updated:
Investors Lose Money After Brokers Recommend FS KKR Capital Corp II Fund
:
Updated:
Investors Accuse Purepath Wealth Management Investment Advisor & Crown Capital Securities Broker Dennis Haywood of Making Inappropriate Investment Recommendations
:
Updated:
Brokers May Have Sold Granite Point Mortgage Trust REITs Even When Unsuitable for Investors
:
Updated:
Moody National REIT II Investors May Have Grounds For Stockbroker Misconduct Claims
:
Updated:
Ex-Raymond James Broker Frederick Stow Is Accused of Stealing $1M from Senior Investors
:
Updated:
SagePoint Financial Ordered to Pay Over $1.6M for Early Unit Investment Trust Rollovers That Cost Investors
:
Updated:
$200K Investor Claim Against Arni Diamond, Of The Diamond Group, Alleges Unsuitable Alternative Investment Recommendations
:
Updated:
Nine Energy Service Investors May Have Grounds for Bond Fraud Claims to Recover Losses
:
Updated:
Some Investors Lose Big As ETFs, ETNs & Other Structured Products Fail During COVID-19
:
Updated:
Centaurus Financial & JP Turner Brokers Including Cindy Chiellini, Atul Makharia and Greg Scott Young Targeted South Carolina & Tennessee Retirees in Structured Products Scam
:
Updated:
Elderly Retiree Claims Sheppard Mosher advisor Jason Mosher Overconcentrated His IRA With GPB Private Placements
:
Updated:
Retiree Couple’s UBS YES Strategy Lawsuit Seeks Up to $1M in Damages and Losses
:
Updated:
Shepherd Smith Edwards & Kantas Investigates Financial Advisors That Recommended AMLP and Other Oil & Gas Master Limited Partnerships
:
Updated:
Retiree Sues Kovack Securities and Its Broker Susan Penney Over Investment Losses
:
Updated:
SunTrust Investment Services to Pay $634K For Alleged Inadequate Supervision Of Unsuitable ETF Sales Practices
:
Updated:
Barred Wells Fargo Broker Named in Unsuitable Investment Fraud Case Recently Settled for $995K
:
Updated:
Massachusetts Sues GPB Capital Holdings for Defrauding Investors of Over $14M
:
Updated:
UBS YES Strategy Investors Say They Were Promised Low Risks But Suffered Huge Losses
:
Updated:
Investor Sues Kestra Investment Services For IRA Losses Involving Barred Broker James Daughtry
:
Updated:
Did You Suffer Investment Losses? How a San Francisco Broker Fraud Lawyer Can Help
:
Updated:
Investors of Preferred Stocks Suffer Losses As Market Undergoes Nearly 5% Drop
:
Updated:
Top Warning Signs of Senior Investor Fraud that You Need to Be Aware of
:
Updated:
Morgan Stanley Sued for Unsuitable Recommendations Over Harvest Volatility Strategy, MLPs and Other Complex Investments Made To A Texas Investor
:
Updated:
Structured Products Are Not For Everyone In San Francisco. Here’s Why
:
Updated:
Securities Fraud In San Francisco: How You Can Protect Yourself
:
Updated:
Investing In Real Estate Investment Trusts (REITs): What Are They and What Risks Are Involved?
:
Updated:
National Securities Broker Michael Burkoff Accused of Unsuitable Investment Recommendations Involving Structured Products
:
Updated:
Trial of EX-GPB Capital Holdings CCO Michael Cohn is Delayed Over COVID-19 Concerns
:
Updated:
Ex-Next Financial Broker Charles Doraine is Barred Following Puerto Rico Bond Fraud Allegations
:
Updated:
David Lerner Associates May Have Sold Spirit of America Energy Fund, Energy Resources 12, and Energy 11 Investments to Conservative Investors and Retirees
:
Updated:
First Allied Securities Broker William Fox Accused of Making Unsuitable Alternative Investments Recommendations
:
Updated:
COVID-19 Exacerbates High Risks of Collateralized Loan Obligations for Investors
:
Updated:
As United States Oil Fund Plunges 30%, Retail ETF Investors Should Worry About Losses
:
Updated:
Frontier Communications Bonds Purchased From FMSBonds May Have Grounds for FINRA Arbitration Claim
:
Updated:
Shepherd Smith Edwards and Kantas Investigates NAV REIT and Real Estate Interval Funds Sold By Advisor Group
:
Updated:
Shepherd Smith Edwards and Kantas Investigating Claims From LPL Financial Customers Who Invested in Nontraded REITS and Publicly Traded Property Interval Funds
:
Updated:
Tata Arbitrage Fund and ICICI Prudential Among the Arbitrage Funds That Temporarily Shuttered Because of Coronavirus
:
Updated:
Unsuitable Broker Recommendations of Structured Notes, Including Callable Yield Notes and Autocallable Securities May Be Causing Investors’ Losses During COVID-19
:
Updated:
The Top Types of Securities Fraud All Investors Must Know
:
Updated:
Market Volatility Caused by COVID-19 Negatively Impacts Leveraged ETNs & Inverse ETPs
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Ex-Stifel Nicolaus Broker Steven Rodemer
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Customer Claims Involving Former LPL Financial Broker Mark Lamkin
:
Updated:
Shepherd Smith Edwards and Kantas Continues to Investigate Investor Losses Involving Robinhood Financial Outages Before COVID-19
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Losses Involving VelocityShares 3x Long Crude Oil ETN (UWT)
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Leveraged UBS ETRACS ETNs After COVID-19 Market Crash Causes Investor Losses
:
Updated:
Las Pérdidas en las Inversiones durante el Coronavirus tiene a los Inversionistas Buscando Respuestas
:
Updated:
What To Know About Suing Your Broker or Investment Adviser For Fraud In FINRA Arbitration During COVID-19
:
Updated:
Harvest Volatility Management’s CYES Investments Prove Too Risky For Many Investors During COVID-19
:
Updated:
Ex-Kestra Financial Broker Involved in Investor Fraud Claims and Accused of Unauthorized Trading
:
Updated:
Some Brokers Are Taking Advantage Of Investors During The COVID -19 Coronavirus
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Non-traded REIT Preferred Apartment Communities
:
Updated:
Broker Fraud and Investment Losses During The Time of The Coronavirus
:
Updated:
Experts Say: Expect More FINRA Arbitration Cases Following Coronavirus and Market Volatility
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Cline Financial Group and National Securities Corporation
:
Updated:
Jack Jones and Mark Robare of Robare & Jones Wealth Management are the Subjects of a FINRA Complaint Involving GPB Investments and Other Privately Traded Investments
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Losses Involving Midstream MLPs
:
Updated:
SSEK Investigates Investment Loss Claims Involving Wells Fargo Broker Jeffrey Eiler
:
Updated:
Coronavirus And Market Drops Likely to Cause More Losses for UBS YES and CYES Strategy Investors
:
Updated:
Shepherd Smith Edwards and Kantas Investigates UIT Claims Involving Ex-Raymond James Broker
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Robinhood Financial
:
Updated:
Shepherd Smith Edwards and Kantas Investigates UBS YES Strategy Claims
:
Updated:
Wells Fargo Settles Inadequate Supervision of Non-Traditional ETFs Claim for $35M
:
Updated:
Christopher Shaw, Founder and President of CJS Wealth Management, is the Subject of a FINRA Complaint Involving GPB Capital Recommendations
:
Updated:
Citigroup, LPL Financial, Morgan Stanley, JP Morgan Securities, and Merrill Lynch Fined $1.4M for Failure to Reasonably Supervise
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Investment Adviser George Marwieh Over Future Income Payments Notes
:
Updated:
SSEK Investigates Stockbroker Misconduct Claims Involving Ex-Commonwealth Capital Broker Kimberly Springsteen-Abbott
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-First Allied Securities Broker Masood Azad
:
Updated:
GPB Capital Sued Again: A Class Action Fraud Case and One Lawsuit by Volkswagen
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-NYLIFE Securities Broker Over Future Income Payments Sales
:
Updated:
Shepherd Smith Edwards & Kantas Files GPB Capital Private Placement Fraud Case Against International Assets Advisory
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Ex- Broker Ma Rosa Linan Abrego and Merrill Lynch
:
Updated:
Ex-Morgan Stanley Broker Elias Hafen Sentenced To Prison For Investment Fraud
:
Updated:
GPB Capital Won’t Be Providing Key Tax Documents to Over 6,500 Investors By April 15
:
Updated:
Rogue Broker Named in Over 50 Complaints Found Guilty of Mail & Wire Fraud
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Non-Traditional ETFs
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Suspended First Western Securities Broker Kerry Dean Wills
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Former Berthel Fisher Broker Mason Gann
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Barred Mutual of Omaha Broker Edward Matthes
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Ex-Cetera Advisors Broker Roger Owens
:
Updated:
Merrill Lynch Ordered to Pay $1.7 Million in Puerto Rico Bond Fraud Case Involving Broker Alex Gierbolini
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Ex-First Allied Securities Broker Shlomo Strugano
:
Updated:
SSEK Investigates Broker Fraud Claims Involving SagePoint Financial Broker Timothy Vanlohuizen
:
Updated:
SSEK Investigates Woodbury Financial Broker Daryl Serizawa Over GPB Capital Private Placements
:
Updated:
SSEK Investigates Investment Fraud Claims Involving Rogue Broker Anthony Diaz
:
Updated:
Shepherd Smith Edwards and Kantas Investigate Claims Involving Barred National Planning Broker William Glaser
:
Updated:
Oppenheimer To Pay $3.8M To Customers For Unit Investment Trust Rollover Fees
:
Updated:
SSEK Explores Investor Claims Involving Ex-Cetera Advisors Broker Stephen Carver
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Ex-Morgan Stanley Broker John Cahill
:
Updated:
Shepherd Smith Edwards & Kantas Investigates Merrill Lynch and Gordon Harper over Collateral Yield Enhancement Strategy (CYES) Damages
:
Updated:
Kristian Finfrock, Founder of Retirement Income Strategies, is the subject of Investor Complaints Over GPB Capital and Other Esoteric Investments
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Ex-Royal Alliance Broker Gary Basralian
:
Updated:
Shepherd Smith Edwards and Kantas Investigates NEXT Financial Group Over Non-Traded REIT Sales
:
Updated:
Shepherd Smith Edwards and Kantas investigates Martin David Batstone and Newbridge Securities Corp.
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving SBLOC Losses
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Ex-Triad Advisors Broker Michael Sievert For Selling GPB Private Placements
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Woodbury Financial Services Broker Robert Hayes Hoffman
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Loses Involving Steepener Structured Notes
:
Updated:
Lek Securities Ex-CEO Samuel Lek Barred by FINRA and Major Exchanges
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Centaurus Financial Broker Katherine Nishnic
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Sagepoint Financial Over GPB Private Placement Sales
:
Updated:
Shepherd Smith Edwards and Kantas Continues to Investigate Claims Involving Merrill Lynch Strategic Return Notes
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Kalos Capital Broker Darren Kubiak Over GPB Investments and Exchange-Traded Funds Sales
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Pruco Broker Joseph Viet Duy Phan
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving NYPPEX Broker Laurence Allen
:
Updated:
First Broker Fraud Case Involving GPB Capital Investments Gears Up for Spring FINRA Hearing
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Lincoln Investment Planning Broker Lester Burroughs
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Securities America Broker Ronald Roach
:
Updated:
Former GPB Capital Holdings Partner Doubles Down on Ponzi Scam Claims
:
Updated:
Leveraged Loan Defaults Hit $23B
:
Updated:
UBS Ordered to Pay Investor Over $150K In Puerto Rico Bonds and Closed-End Bond Fund Case
:
Updated:
Another GPB Capital Holdings Auditor Resigns
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Commonwealth Financial Network Broker Gerald Eaton
:
Updated:
Ex-UBS Puerto Rico Broker David Lugo Ordered to Appear in Federal Court
:
Updated:
National Financial Services Gives GPB Investors Deadline to Move Investments To Another Platform
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving 1 Global Capital Investments
:
Updated:
Summit Investment to Pay Investor $100K for LJM Preservation and Growth Fund
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Ex-Sigma Financial Broker Frederick Randhahn For Selling $625K of Woodbridge Promissory Notes
:
Updated:
Shepherd Smith Edwards and Kantas Pursues GPB Capital Investor Fraud Claim Against Kalos Capital, Ameriprise Financial and Ex-Broker Gary Imel
:
Updated:
Shepherd Smith Edwards & Kantas Investigates Cetera Investment Services and Mengxuan Zhang
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Capital Financial Investments and Ex- Broker Sean Kelly
:
Updated:
Kalos Financial Sends Letter to Investor Defending Its Sale of GPB Private Placements
:
Updated:
Hong Kong Fines UBS Group $51M For Overcharging Clients
:
Updated:
Shepherd Smith Edwards and Kantas Investigates GPB Investor Claims Against Ladenburg Thalmann’s Triad Advisors
:
Updated:
New Class Action Against GPB Capital Offers New Details Into Alleged $1.8B Ponzi Scam
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Customer Claims Involving First Standard Financial and Brokers Philip J. Sparacino and Gabriel Block
:
Updated:
9th Circuit Strikes Down JP Morgan Securities’ Wrongful Termination Win
:
Updated:
Morgan Stanley Pays $182K to Clients of Ex-Broker Justin Amaral
:
Updated:
SEC’s Broker-Dealer Fraud Case Against Cetera Advisors Reaches $21M
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Centaurus Financial Brokers Ricky Mantei and Cindy Chiellini
:
Updated:
Shepherd Smith Edwards & Kantas Investigates Ex-Raymond James & Associates Advisor Stuart Nichols
:
Updated:
Newbridge Securities, Under Investigation for GPB Private Placement Sales, Fined $225K for Inadequate Supervision
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims by Clients of Innovation Partners
:
Updated:
Ex-Texas Broker With Morgan Stanley and Ameriprise Fined Over Allegedly Unauthorized Trades
:
Updated:
GPB Capital CCO Michael Cohn is Charged with Obstruction
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving ex-Morgan Stanley Brokers Ami Forte and Charles Lawrence
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Daniel Gordon Maughan and Financial West Group
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Complaints Involving Ex-Raymond James Broker John Wyshak
:
Updated:
Investor Funds Take on Big Losses Because of Argentina Stock Market Exposure
:
Updated:
Shepherd Smith Edwards and Kantas Investigates ex-Wells Fargo Advisor Stephen Klinger
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Claims Involving Fired UBS Broker David Fagenson
:
Updated:
Shepherd Smith Edwards and Kantas Investigating Claims Involving Ex-Hilltop Securities Broker Richard Cagle
:
Updated:
Shepherd Smith Edwards and Kantas Investigates Ex-Wells Fargo Broker Leonard Kinsman
:
Updated:
Stifel Nicolaus to Pay $1.5M For Failure to Supervise Broker Kenneth Blumberg
:
Updated:
What’s The Connection Between Kalos Capital And GPB Capital?
:
Updated:
Shepherd Smith Edwards & Kantas Investigates Jeffery Vasiloff, Former LPL Financial Advisor
:
Updated:
Shepherd Smith Edwards and Kantas Files Investor Fraud Lawsuit Against Money Concepts Capital for GPB Capital Sales
:
Updated:
Three Ex-Morgan Stanley Brokers Accused of Broker Misconduct
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Raymond James To Pay $15M for Improper Advisory Fees and Commission Charges
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SSEK Law Firm Investigates Ex-Broker James T. Flynn and Voya Financial Advisors
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Alleged $125M Offering Fraud Touted “Highly Profitable” Trading Strategy
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Investors Blame Brokers Matthew Buchsbaum And Scott Rosenberg For UBS YES Strategy Losses
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Fraudulent Binary Options Led to Tens of Millions of Dollars in Investor Losses
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SSEK Investigates Stockbroker Eddie Lyons of Raymond James & Associates
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Strong Investment Management and Laurel Wealth Advisors Settle Cherry Picking Allegations
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GPB Fails to Meet Its Own Disclosure Deadline, Fires Prime Automotive Group CEO
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Shepherd Smith Edwards & Kantas investigates James T. Booth and LPL/INVEST
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Shepherd Smith Edwards & Kantas investigates Marcus Boggs, a former Merrill Lynch Financial Advisor
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JP Morgan Settles Broker Fraud Claim for $14M
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Shepherd Smith Edwards and Kantas Wins $550K for Texas Widow Against UBS
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Investor Files GPB Private Placement Claim Against Kalos Capital
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Investor’s GPB Private Placement Claim Against Arkadios Capital Gets FINRA Hearing
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Ex-Cetera Broker from Texas is Accused of Defrauding Investors
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American Realty Capital Properties to Pay Investors $1B
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Ex-Morgan Stanley Broker Pleads Guilty to Investment Adviser Fraud
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Cetera Advisors Accused of Defrauding Investors of $10M
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Cambridge Capital Accused of Defrauding Retired NFL Athletes
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Philadelphia-Based Investment Adviser Accused of $105M Investor Fraud
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UBS Ordered to Pay $9.3M for Puerto Rico Bond Fraud
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Financial Sherpa Accused of Cherry Picking
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UBS Yes Strategy Investors File Fraud Claims
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Sagepoint Financial and Royal Alliance Sold GPB Private Placements to Investors
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Ex-Merrill Lynch Investment Adviser Accused of Stealing $1.7M
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Former Broker Pleads Guilty in Castleberry Financial Fraud
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Alleged Unauthorized Trades by IFS Securities Trader Causes $10M in Losses
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Investors of GPB Capital Holdings Funds File Class Action Securities Fraud Lawsuit
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Commonwealth Accused of Not Disclosing Revenue Deal to Clients
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Texas Fines Investment Advisor for Failure to Supervise, UXVY ETF Losses
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Two Former Brokers Sentenced in Multimillion-Dollar Ponzi Frauds
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Ex-Wells Fargo Broker and Advisor Are Accused of Misconduct
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Mispriced Funds and Elder Investor Fraud Lead to SEC Cases
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Centaurus Structured Investment Loss Lawyers
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Texas Investor Says Kalos Capital Advisor Inappropriately Recommended GPB Private Placements
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SSEK Investigates Darren Oglesby and Money Concepts Capital
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GPB Capital Sued by Another Business Partner Alleging Financial Misconduct
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56 Brokerage Firms to Pay $89M to Retirement and Charitable Accounts
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Fidelity’s National Financial Services Orders GPB Private Placements Removed
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Nomura Settles Two MBS Fraud Cases for $25M
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GPB Capital Funds Continue To Plunge In Value
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AR Capital, Nick Schorsch, and Brian Block Settle REIT Fraud Case for $60M
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Aequitas Ponzi Fraud Case Results in $234.6M Settlement
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CYES Strategy Investments Prove Too Risky for Investors
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Kristofor R. Behn, Fieldstone Financial Management Face Fraud Charges
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Summit to Pay Over $880K for Excessive Trading, Inadequate Supervision
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Former LPL Broker and Ex-Convict Accused in $3.3M Investor Fraud
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Legend Securities to Pay Almost $967K to Investor
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Former NY Trader Accused of $19.3M Ponzi Fraud
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Purshe Kaplan to Pay $9.5M to Native American Tribe
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Massachusetts Fines LPL Financial $1.1M
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Brokerage Firms Made over $165 Million for Selling GPB Capital Private Placements
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Investors Awarded $3M In Claim Against Spire Securities
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Healthcare Investment Scam Targeted Dozens of Investors
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REIT Investors Suffer Major Losses
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Ex-Cetera Financial Group Adviser Named in 27 Customer Disputes
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Ex-Cetera, UBS, and Spencer Edwards Brokers Barred
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Recent SEC Cases Involves Market Rigging
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Ex-Windsor Street Capital Broker is Barred
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Leon Vaccarelli Convicted on 21 Counts Involving Investor Fraud
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Wells Fargo Sued for More than $1B in RMBS Fraud Case
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Another Ex-LPL Broker Barred Following Misrepresentation Allegations
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Recent Ponzi Fraud Allegedly Targeted College Grads
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FINRA Bars Ex-Ameritas Broker Following Selling Away Allegations
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Stephen Brandon Anderson Accused of Multiple SEC Findings
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Ex-Morgan Stanley Broker Suspended Over Alleged Churning
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FINRA Bars Additional Bad Brokers from Big Firms
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Former Och-Ziff Capital Executive Admits To Lying
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Investors Defrauded in Alleged $1.4M Prime Bank Fraud
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SEC Announces $4.5M Whistleblower Award
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Newbridge Securities Corporation in Financial Trouble
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SSEK Investigates Harvest Volatility Management Strategies
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Former LPL Financial Broker is Barred from the Securities Industry
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Morgan Stanley Ordered to Pay $519K to Retired Couple
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Broker Allegedly Illegally Sold Over $23M in Woodbridge Securities
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Ex-America Northcoast Securities Broker Barred For Unsuitable ETF Trades
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Former Janney Montgomery Scott Broker Faces Charges
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Stanford Ponzi Fraud Victims Awarded $1.4M
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Fund Manager LJM Partners Sues Over Volatility Losses
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Ex-Business Partner Accuses GPB Capital Holdings of Ponzi Scheme
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AXA Financial Ordered to Pay $3.2M to Farming Family
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Morgan Stanley to Pay Almost $455K For Alleged Retirement Fund Mismanagement
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Morgan Stanley To Pay $150M Over Mortgage-Backed Securities
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Claim Filed Against Arkadios Over GPB Capital Private Placements
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Buckman, Buckman & Reid To Pay Customers $205K
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Puerto Rico Retiree Plan Accuses UBS and Others of Bond Price Rigging
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Recent Fraud Cases Targeted Hedge Funds, Senior Investors, and Israeli-Americans
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Hundreds of Retail Investors Harmed in Two Separate Fraud Cases
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Ex-Aegis Capital Broker is Barred Over Churning Allegations
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LPL Financial To Pay $450K Fine to Texas Investors
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SEC Charges Abraaj Investment Management With Defrauding Investors
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Investment Adviser is Accused of Defrauding More than $570K
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Former Woodbridge CEO Now Faces Criminal Charges
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“Pastors” Accused of $25M Ponzi Scam
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Direct Lending Investments Face SEC $11M Fraud Charges
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Investor Fraud Crimes: Ex-Hedge Fund Manager and Investment Advisor Sentenced
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Texas Man Pleads Guilty In $360M Ponzi Scam
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Latest SEC Whistleblower Award is $50 Million | Securities Fraud Attorney
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Sweetwater Investments Plead Guilty To $3M Investor Fraud
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Unregistered Investment Adviser Accused in $29M Ponzi Scam
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Investor Alert! Beware of Losses from the UBS Yield Enhancement Strategy
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Ex-UBS Puerto Rico Broker is Sentenced to Prison
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Family Files $18M Investor Fraud Lawsuit Against Securities America Alleging Broker Fraud
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The FBI and NY Regulators Raid GPB Capital Holdings’ Trash Hauling Company
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NorthStar Healthcare REIT Investors Suffer Losses as Income Distributions Are Suspended
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Talimco LLC Allegedly Defrauded CDO Client To Benefit Another Client
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79 Investment Advisers To Give Over $125M Back to Mutual Fund Investors
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Radio Host Accused in $19.6M Texas Scam That Targeted Elderly Investors
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Wedbush Securities To Pay $250K Over Inadequate Supervision of Ex-Broker Accused of Fraud
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Former Alexander Capital Broker Accused of Churning Must Pay Over $302K
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SEC Bars Former Wells Fargo Broker Over Alleged $1.3M Senior Investor Fraud
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BB&T Securities To Give Back Over $5M To Retail Investors
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Securities-Backed Lines of Credit Are Not For Every Investor
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Broker-Dealers Who Sold GPB Investments
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FBI Is Investigating GPB Capital Holdings
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Hedge Funds That Own Puerto Rico General Obligation Bonds Continue to Fight for Repayment
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Criminal Securities Fraud Cases Including Startup Company Charged in $48M Fraud
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Investors Claims Against Santander for Puerto Rico Bond Fraud Losses are Increasing
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Castleberry Financial Services is Accused of $3.6M Investor Fraud
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Big Banks Are Accused of Rigging Freddie Mac and Fannie Mae Bonds
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Investor Fraud Claims Include Kiddar Capital and Stanford Ponzi Scam
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Former Commonwealth Financial Network Broker Is Accused of Stealing $100K From Retiree
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Philadelphia Sues Citigroup, Goldman Sachs, Bank of America and Other Big Banks, Alleges Municipal Bond Rigging
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United Planners Fined $100K By Massachusetts for Inadequate Supervision of a Broker
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Financial Firms: UBS Settles with Virginia’s Regulator over Broker’s Unsuitable Recommendations, FINRA Fines Texas Broker-Dealer $225K for Mutual Fund Sales Violations, and an Ex-Client Seeks $500K from Carson Wealth while Alleging Excessive Fees
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U.S. First Circuit Court of Appeals Invalidates PROMESA Board
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Recover Losses From Investing With Former Ameritas Investment Corp. Broker Kristian Gaudet
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Investor Fraud: Former MML Investors Broker Who Sold $3.5M of Woodbridge Notes is Barred, Ex-Merrill Lynch Rep Gets 40-Month Prison Term for Defrauding Clients, and Barred UBS Broker is Sentenced in $3.7M Fraud
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$18 Billion COFINA Deal to Restructure Puerto Rico Debt Gets Federal Court Approval
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Commodity Futures Trading Commission Orders Couple Who Pleaded Guilty in $11M Futures Trading Scam to Pay Restitution
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Statim Holdings Is Accused of Defrauding Private Fund Arjun and Its Investors
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Finra Bars Fired Merrill Lynch Broker Accused of Falsifying Class B Mutual Fund Share Sales Orders
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Investment Fraud: Capital Securities Must Pay Retired Teachers $3.8M and Investors Ask Court for Nearly $2.7M Judgment over High Risk Investment Losses
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U.S. First Court of Appeals Reverses Lower Court and Rules that Puerto Rico Bondholders Have a Valid Claim on Pension Fund Assets
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Retirement Losses: First Allied Securities and Financial Adviser to Pay Retirees Over $1.6M for Investment Advice, MetLife to Pay Another $189M to Individuals Owed Pensions, and Duke University Will Pay Over $10M to Settles Lawsuits Alleging ERISA Violations
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Investor Fraud: Quest Capital Strategies Must Pay Investor $276K in Woodbridge Ponzi Fraud, FINRA Warns Firms About Recommending Unsuitable 529 Plan Share Classes, and Ex-Ameritas Broker is Barred from the Securities Industry
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Woodbridge and Its Ex-Owner Must Pay $1B Over Alleged Ponzi Scam
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Criminal Securities Fraud: Another Ex-Wilmington Trust Executive Gets His Prison Term, Former Rock Capital Trader in $13.7M Fake Profits Scam to Serve 5-Year Sentence, and Ex-NJ Financial Adviser Who Defrauded Customers Waits for Jury Verdict
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Texas Real Estate Developer Faces SEC Charges Over Alleged Multimillion-Dollar Ponzi Scam
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Ex- Financial Adviser Peggy Fulford is Sentenced to 10 Years in Prison for Defrauding Professional Athletes
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Securities Cases: Massachusetts Charges Royal Alliance Over Unsuitable Investment Advice, Ex-Schwab Rep. is Fined For Alleged False Statements, and Texas Broker Accused of Bank Fraud Gets His CFP Designation Suspended
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CFD Investments Ordered to Pay $125K Fine Over the Inadequate Supervision of Variable Annuity Sales
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Royal Alliance and Former Broker Are Ordered to Pay $4.2M To Widow Who Was Victim of Investor Fraud
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Puerto Rico Oversight Board Seeks to Invalidate Over $6 Billion of General Obligation Bonds
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Enbridge Acquires The Rest of Its Houston-Based Mastered Limited Partnership Operations
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Finra Bars Another Ex-Morgan Stanley Representative, Fines Firm $10M for AML Detection Deficiencies, and Orders It To Pay Two Investors $4.2M For Broker Fraud
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Houston, TX-Based Brokerage Firm Next Financial is Acquired by Atria
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Puerto Rico’s Fiscal Oversight Board Reportedly Will Pay Advisor Brown Rudnick $790/Hour
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Ex- Wells Fargo Broker Faces 128 Felony Counts in Alleged $1M Ponzi Scam
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Big Banks End 2018 Holding At Least $1.6B of Unsold Loans Involving Leveraged Buyout Debt
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FINRA Sues Ex-Morgan Stanley Broker Ami Forte for Elder Financial Fraud
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SEC Files Charges Against 10 Companies and 13 Unregistered Brokers That Sold Woodbridge Securities in $1.2B Ponzi Scam
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FINRA and SEC Reportedly Probe GPB Capital Holdings and The Brokerage Firms That Sold Its Private Placements
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When Margin Calls Lead to Investor Fraud Losses
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Puerto Rico Consultant McKinsey & Company’s Ownership of $20 Million of Puerto Rico Bonds Raises Conflict of Interest Concerns
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Criminal Securities Fraud: Jury Convicts Former NJ Investment Manager Over $10M Ponzi Scam and Wilmington Trust Executives Get Prison Term of Six Years
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Financial Firm News: Goldman Sachs Faces Criminal Fraud Charges in Malaysia and UBS is Fined $15M Over Poor Anti-Money Laundering Detection Systems and Multibillion-Dollar Fraud Involving 1MDB Fund Leads to Criminal Charges for Goldman
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Investor Fraud: Ex-HCR Wealth Advisors Advisor Who Stole $1.2M from Pro Athlete Makes a Deal with the SEC, Investment Adviser and His Daughter Settle $7.9M Ponzi Scam Case, and Texas-Based Developers to Pay Over $50M in E-B Offering Scam
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Merrill Lynch to Pay $300K to Settle Inadequate Supervision Allegations
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FINRA Suspends Ex-Securities America Broker
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Investment Scam: Ex-MRI International CEO Convicted in $1.5B Ponzi Scam, Receiver Says Aequitas Capital Management Was Involved in $617M Fraud, and Texas-Based AriseBank CEO Is Accused in $4M Cryptocurrency Fraud
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Former Lombard Securities Broker Pleads Guilty in Multimillion-Dollar Ponzi Scam That Defrauded Older Investors
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International Assets Advisory “Proudly” Hires Brokers With “Checkered” Pasts
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Options Trading Website Owner Faces Charges in Alleged $4M Online Binary Options Fraud
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FINRA Bars Broker For Selling $10.8M of Notes in $1.2B Woodbridge Ponzi Scam
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Investment Fraud: Madoff Ponzi Scam Victims Receive Another $695M, Ex-Royal Alliance Associates Investment Adviser Pleads Guilty To Stealing $3M From Customers, and MoneyGram Investor Proposes Lawsuit After $125M Settlement
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JPMorgan Chase and Citigroup Settle Euribor Investor Case for $180M
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Investor Fraud: FINRA Awards Over $1M in Churning Case Against Legend Securities and Morgan Stanley Financial Adviser is Sentenced After Spending Over $950K of Clients’ Money
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FINRA Suspends Ex-UBS Broker Who is Now With Newbridge Securities
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H. Beck Ordered to Pay $400K for Unsuitable Variable Annuity Sales to Customers
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Alleged $17.5M Texas Investor Fraud Leads to Criminal Indictment
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Investor Fraud: Investment Adviser Pleads Guilty to Retirement Fund Fraud, Stock Research Firm is Sued in Alleged Pump-and-Dump Scam That Targeted Seniors, and A Rabbi is Accused of Running a $35M Ponzi Scam
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Ex-UBS Puerto Rico Broker Jose “Whopper” Ramirez Pleads Guilty to Bank Fraud
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GPB Capital Holdings’ Auditor Resigns Within Months of Private Placement Sales Suspension
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IMS Securities Ordered to Pay Retirement Investors $1M in UDF REIT Case
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US Government Sues UBS for Residential Mortgage-Backed Securities Fraud
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FINRA Bars Ex-Texas Based Brokers from Merrill Lynch and RBC Capital Markets
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Former Next Financial Investment Adviser and Broker Pleads Guilty to Multimillion-Dollar Investor Fraud Charges
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Puerto Rico UBS Closed-End Mutual Fund Fraud Lawsuit Goes to Arbitration
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Ex-LPL Financial Broker Gets 20 Years in Prison for Securities Fraud
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UBS Ordered to Pay Investor $693K in Puerto Rico Bond Fraud Case
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FINRA Bars Another Ex-Morgan Stanley Broker
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Texas Couple Indicted for Allegedly Embezzling $14.5M from Retirement Funds
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Investor Fraud: Boston Hedge Fund Manager Pleads Guilty in Ponzi Scam Case, Ex-State Street Executive is Sentenced to 18 Months, and Willow Creek Fund Manger Must Forfeit $13M
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UBS to Pay $19.8M in Puerto Rico Bond Fraud Case
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Texas Oil and Gas Businessman Settles $80M Fraud Case Involving Breitling Energy Shares
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HSBC and Nomura to Pay $765M and $480M, Respectively to Settle RMBS Fraud Claims
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Investment Advisor Fraud: Dawn Bennett is Convicted in $20M Ponzi Scam, Guilty Plea Reached in $6.1M Fraud, and Genesis Advisory Services Operator Settles SEC Charges
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Fidelity is Sued Over Alleged Retirement Plan Mismanagement Again
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Another Ex-Morgan Stanley Broker is Barred by FINRA
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Investor Fraud: Man Who Solicited Women He Dated is Convicted, Real Estate Developer is Accused in $16M Financial Scam Turns Himself In, and Couple Allegedly Promised Over 2200% in Investment Returns
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FINRA Bars Former Morgan Stanley and Wells Fargo Brokers
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Financial Fraud: Massachusetts Mayor is Accused of Bilking Investors, Former Wells Fargo Broker Allegedly Stole $1M From Older Clients, and the LendingClub Asset Management Settles $4.27M Securities Case
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Wayde McKelvy, Accused of Defrauding Retirees and Widows in $54M Ponzi Scam, is Now on Trial
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Real Estate Investment Trust Cases: SII to Repay Clients Who Bought Non-traded REITs, Trustmont Financial Group is Ordered to Pay Client $1M, and Vereit Settles with More Investors Over Accounting Fraud Claims Against ARCP
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SEC and CFTC File Multiple Binary Options Fraud Complaints Accusing Marketers of Defrauding Investors of Millions of Dollars
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Securities News: Citigroup to Pay $12M Over Alleged Dark Pool Misrepresentations, SEC Issues Nearly $4M Whistleblower Award, Ex-Bankrate CEO Who Pleaded Guilty to Fraud Gets 10 Years in Prison
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Texas Investor Fraud: Investment Adviser is Barred in $6.8M Offering Fraud and Investment Promoter Gets 25 Years in Prison for Stealing from Clients
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TD Ameritrade Fined $500K For Not Reporting Investment Advisers’ Suspect Activities
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Two Former Meyers Associates Alleged Excessive Trading Cost Investors $3.6M
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Investor Fraud: Barred Michigan Investment Adviser is Accused of Defrauding Retirees of $2.7M and SEC Halts Alleged $345M Ponzi Scam That Bilked Seniors, Retail Investors, and Small Business Owners
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Investors Suing UBS Puerto Rico Over Closed-End Fund Losses Are Denied Class Action Certification
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SEC Issues $55.5M in Whistleblower Awards
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Investor Fraud: Steele Financial is Accused of Selling Over $13M in Risky Securities, NJ Broker Allegedly Cherry Picked Trades, and the SEC Files Charges in $27M Microcap Fraud
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Hedge Fund Fraud Cases: Adviser is Accused of Short-and-Distort Scam and Digital Asset Manager Faces Misrepresentation Allegations
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Another Texas-Based Wells Fargo Broker is Barred by FINRA
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FINRA Bars Former JP Morgan, Stifel Nicolaus, and Benjamin & Jerold Brokers
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Financial Firm News: Includes Lincoln Investment Planning, Grenda Group, and Massachusetts Financial Services Company
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New Report Suggests Banco Popular de Puerto Rico Could Be Held Liable Over Island’s Final Junk Bond Issuance
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Investigations Involving William A. Hightower of UBS Financial Services and Legacy Asset Securities Inc.
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Investors Bilked in $1.2B Woodbridge Ponzi Scam Must Pay 16% to Borrow on What They Are Owed
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1 Global Capital Accused of Defrauding Retail Investors in Alleged $287M Unregistered Securities Scam
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Dallas, Texas-Based Wells Fargo Broker Expelled by FINRA
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Investors in UDF IV REIT Want Texas Federal Judge to Approve $13.5M Ponzi Fraud Settlement
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Shepherd Smith Edwards & Kantas LLP Investigating Claims Involving Donna Tucker and UBS Financial Services
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Oppenheimer Found Liable for Representative Mark Hotton’s Fraud
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Oppenheimer Continues to Show Serious Supervisory Deficiencies
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Transamerica Entities to Pay $97M to Investors Over Flawed Investment Models
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Securities News: Genstar to Acquire Cetera With $1B in Junk Bond Sales, Financial Adviser Admits to Fraud Involving $2M Trading Loss, and BlackRock Funds Shareholders Sue Over Excessive Fees
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Investor Fraud: Alleged $100M Future Income Payments Fraud, Capital Investment Group to Pay One Elderly Investor $400K, and Tech Fund Adviser is Now Facing Fraud Charges
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Unregistered Brokers Are Charged With Selling More Than $243M of Woodbridge Securities to Over 1600 Investors
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Ex-Wells Fargo Advisors Claim Bank Pressured Them to Sell Products That Charged Higher Fees to High-Net Worth Investors
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Shepherd Smith Edwards & Kantas LLP Investigating Claims Involving Puerto Rico UBS Bond Funds
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GPB Capital Holdings Stops Selling Private Placements in GPB Funds to Investors
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Alleged $135M Ponzi Scam Involving Equitybuild
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Securities Cases: Goldman Sachs Investors Can Proceed with $13B CDO Fraud Litigation, Deutsche Bank Resolves Self-Dealing Lawsuit for $21.9M, and Elkhorn Capital Group Founder is Accused in $2.5M ETF Fraud
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Larry Dearman, Sr. Ponzi Scheme Investigation
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Ameriprise Financial to Pay $4.5M Over Alleged Failure to Protect Investors
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Securities Fraud Allegations Against Former Merrill Lynch/RBC Financial Adviser Could Lead to More Unauthorized Trading and Failure to Supervise Claims
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Defective Security Swaps
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Precious Metal Investments
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SSEK Investigating Claims Involving Jeff Wilson and Wells Fargo
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Retired Couple Awarded $800,000 in Damages From Oppenheimer & Co., Inc
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Wilmington Trust Agrees to $210M Settlement in Shareholders’ Bank Fraud Lawsuit
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Platinum Partners Principal Pleads Guilty to Fraud
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Cryptocurrency Fraud Allegations Lead to Criminal Allegations Alleging $32M ICO Scheme
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Assured Guaranty Sues Puerto Rico Over Fiscal Rescue Plan
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Securities Cases: Anti-Money Laundering Violation Allegations Lead to $5.3M Fine Against ICFBCFS, Three Houston-Based Healthcare Executives are Accused of Falsifying Financial Information, and Pension Fund Accuses Wells Fargo of Holding Back Rebate Fees
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Royal Bank of Scotland Settles Mortgage Fraud Case for $4.9B
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Gerova Financial Group Chairman and Others Plead Guilty
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Investor Fraud: Four More People Charged in $34M Biozoom Stock Scam, Alternative Investment Firm Owner is Accused of Misappropriating Nearly $6M, and California Investment Adviser Settles Allegations in $71M Scheme
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Texas Regulator’s Probe Uncovers Widespread Cryptocurrency Fraud
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Judge Rules Against Ex-UBS Puerto Rico Broker in Closed-End Fund Case
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Recent Criminal Securities Fraud Cases: Ex-OmniView Capital Advisers CEO is Convicted in $300M Fraud, Jury Finds Former-Wilmington Trust Executives Guilty, and Jury Finds Two Hedge Fund Professionals and a Health Consultant Guilty in Insider Case
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LPL Financial Agrees to Pay $26M Over Unregistered Securities to State Securities Regulators
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Massachusetts Hedge Fund Manager Sentenced to Prison for Investor Fraud
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Ex-UBS Official Recounts How the Bank Got Investors to Take on More Puerto Rico Debt
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$85M Ponzi Scam Allegedly Defrauded at Least 150 Investors
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Panasonic Settles Accounting Fraud and FCPA Violation Charges For $280m
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JB FINANCIAL RESOURCES ORDERED TO PAY $750K OVER $1.2B WOODBRIDGE PONZI SCAM
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SECURITIES CASES: YAHOO AGREES TO PAY $35M TO SETTLE CHARGES AND A BIOTECH START UP IS ACCUSED OF ISSUING MISLEADING INFORMATION
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$22M HEDGE FUND FRAUD LEADS TO SEC BAN FOR MONEY MANAGER
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Sanctions Against Wedbush Securities in SEC and FINRA Rulings Are Upheld by the 9th Circuit
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Chicago Investment Adviser Daniel Glick Is Sentenced For Senior Investor Fraud
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SEC Proposes “Regulation Best Interests” that Would Prevent Brokers from Merely Calling Themselves Investment Adviser
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SEC Accuses Former Broker of $5.7M Pension Plan Fraud
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Investment Adviser is Accused of “Ponzi-Like” Scam Involving 50 Investors, Including Friends and Family
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Proposed Tax Ruling Could Bar Oil and Gas Pipelines from Structuring as Master Limited Partnerships
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Firm Executives Reportedly Were Aware of Domestic Violence Allegations Against High-Earning Morgan Stanley Broker for Years
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Santander Securities Will Shut Down Its San Juan, Puerto Rico Branch in May
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Texas Megachurch Pastor and Financial Planner Are Accused of Senior Investor Fraud
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Barclays Settles DOJ’s Mortgage-Backed Securities Fraud Case for $2B
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Investment Fraud: Man Who Pretended to be Financial Adviser Pleads Guilty to $13M Scam, Ponzi Fraudster is Accused of Bilking Friends & Coworkers, and Real Estate Scammers Must Pay Back Investors $30M
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HSBC Settles Libor Rigging Lawsuit for $100M
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Allegations of FCPA Violations, Inflation Schemes, and Improper Audits Lead to SEC Fraud Cases
:
Updated:
Wedbush Securities Faces Failure to Supervise Charges Over Broker’s Pump-And-Dump Scam
:
Updated:
Aegis Capital to Pay Over $1M to the SEC and FINRA to Settle Allegations Involving Low-Priced Securities and Anti-Money Laundering Violations
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Massachusetts Regulator Accuses ARO Equity of $5.8M Ponzi Scam that Bilked Seniors
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Bank of America to Pay $42M to New York Over Fraudulent “Masking” Involving Electronic Trading
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Broker Fraud Allegations Lead to Finra Bars for Northwestern, Fortune Financial, and Morgan Stanley Representatives
:
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FINRA Panel Orders UBS to Pay $204K in Puerto Rico Bond Fraud Claim
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Judge Says Ex-F-Squared CEO Must Pay More Than $13M Related to AlphaSector Strategy and ETF Fraud
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Goldman Sachs Gives LPL Financial Holdings Clients Access to Securities Lending
:
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SEC Grants $83M in Whistleblower Awards in $415M Bank of America Settlement
:
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Stock Fraud: Fyre Festival Founder to Pay $26M After Guilty Plea, Promoter is Accused of Defrauding Gold Mining Stock Investors, and SEC Prevents Alleged Pump-And-Dump Scam
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Theranos and Founder Elizabeth Holmes Charged in Alleged $750M Fraud
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Strategic Return Notes
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Massachusetts Investigates Wells Fargo Advisers
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Investigation Underway of Asset Management Fund’s (“AMF”) Ultra Short Fund (AULTX) and the Role of Shay Asset Management
:
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Ex-Equifax Trader is Accused of Insider Trading Before Data Breach News Was Disclosed to the Public
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Securities Industry Headlines: Convicted Hedge Fund Manager Martin Shkreli Gets Seven Years, Zohar Investment Funds File for Bankruptcy Protection, and Ex-Morgan Stanley Investment Adviser Named in $34M Securities Arbitration Loss Lands at Pinnacle
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Voya Holdings Subsidiaries to Repay Mutual Funds Over $2M
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Texas Securities Cases: Austin Investment Adviser to Pay Over $715K to Settle Cherry Picking Allegations and Dallas-Based Oil and Gas Company is Accused of $95OK Investor Fraud
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Royal Bank of Scotland Settles NY’s RMBS Fraud Case for $500M
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Securities News: Wells Fargo’s Wealth Management Division is Reportedly Under Investigation, Merrill Lynch is Accused of Gatekeeping Failures Involving Unregistered Securities Sales, and NYSE Must Pay $14M Over Regulatory Failures
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FINRA Cases: Allegis Investment Adviser and Ex-Broker Ordered to Pay Nearly $405K, Former Madison Avenues Securities Broker Accused in $1.67M Unauthorized Trading Case is Barred by FINRA, and US Senator Elizabeth Warren Introduces Bill To Address Unpaid Arbitration Awards
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Retirement Accounts : Ameriprise Settles SEC Allegations That It Overcharged for Mutual Funds & Fidelity Undergoes Customer Exodus from Flagship Funds
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UK Brokerage Firm is Accused of $50M Stock Fraud as SEC Files Manipulative Trading Charges
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As LJM Preservation and Growth Fund Declines in Value and Announces Shut Down, Investors Suffer Losses
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Three Companies and Their Principals Accused of $11.7M Texas Oil and Gas Offering Fraud
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SEC Fights to Stop Fraud Scam Targeting Small Businesses
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Ex-Georgeson Employees Accused of Trading Bribes for Information Are on Trial for Fraud
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Financial Firm News: Hilliard Lyons Must Pay $445K to Elderly Investor, Merrill Lynch Ordered to Pay Vermont $140K After Broker Makes Unauthorized Changes, and FSC Securities Settles with Montana Regulators
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Judge Rules that Martin Shkreli Will Be Held Responsible for $10.4M in Investor Losses
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Ex-Wells Fargo Broker Barred for Alleged $180K Elder Financial Fraud
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Deutsche Bank Settles Libor Manipulation Lawsuit for $240M
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UBS Must Pay Five Clients $521,000 Over Puerto Rico Bond Fraud
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CFTC News: Regulator Warns Customers, Including Experienced Investors, About Virtual Currency Pump-and-Dump Scam and Enhances Fraud Enforcement Efforts
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Investor Fraud: Strong Investment Management Faces Allegations of Cherry Picking, a $2.5M Financial Scam Leads to Convictions, and a Former Investment Adviser Is Sentenced to Serve Prison Time
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Insider Trading: Two Former Executives Accused of Making Illegal Profits from Emeritus Stock Trading Settle SEC Charges, More Final Judgments Reached Against Circle of Amateur Golfers, and Investment Adviser Gets Six Months in Prison
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Securities Cases: Massachusetts Accuses Scottrade of Running Sales Contests and Targeting Retirees, Wife of Investment Adviser Must Pay $500K in Fraud Case, and Hedge Fund Manager and His Firms Are Ordered to Pay Almost $30M for Diverting Investor Money
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CFTC to Pay $30M to Whistleblower in $367M Asset Management Case Against JPMorgan
:
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BitFunder and Its Founder Face Fraud Allegations
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Texas Securities Cases: Two Dallas Men Ordered to Halt $4M Oil and Gas Offering Amidst Fraud Allegations, DavorCoin is Barred from Offering investments, and Austin Cryptocurrency Investment Firm is Told to Stops Securities Sales
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Fund Manager Accused of Losing $178M in Residential Mortgage-Backed Securities is Barred from the Industry
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Massachusetts Securities Regulator Charges Investment Advisor with Defrauding Investors, including Seniors, in 26-Year-Long $1M Real Estate Scam
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Barclays Faces New Criminal Fraud Charge Over $3B Qatar Loan
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SEC Cases: Atlanta Fund Manager is Accused of Misusing Investors’ Funds and Final Judgments are Reached in $1.95M Matched Trades Scam and in REIT Fraud Case Against Ex-ARCP CFO Brian Block
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Deutsche Bank Securities Will Pay Back Customers Over $3.7M for Commercial Mortgage-Backed Backed Securities Sales
:
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FINRA Cautions Investors About Scams Involving the Impersonation of the SRO
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Ex-Morgan Stanley Executive is Sentenced in Multimillion-Dollar Fraud That Targeted Widow
:
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Securities Firm News: Rabobank NA to Pay Almost $369M After Pleading Guilty to Felony Conspiracy, Alabama Supreme Court Says Lawsuit Against Sterne Agee Can Proceed, and Maryland Wealth Management Firm is Accused of Fraud
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Securities Fraud Cases: Businessman Accused in Jay Peak Resort-Related Investment Scheme Must Pay Back Over $81M in Investor Money, Former State Street VP Faces Another Criminal Charge, and Lawyer Pleads Guilty in $20M Stock Scam
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Deutsche Bank Securities Must Pay $70M for Trying to Rig the ISDAFIX Benchmark
:
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SEC Stops Alleged $5.3M Hedge Fund Fraud Involving Willow Creek Advisors
:
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Two Former Morgan Stanley Investment Advisers Accused of Fraud Plead Guilty
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BNP Paribas to Pay $90M After Pleading Guilty in FX Currency Rigging Probe
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Texas Securities Cases: Ex-LPL Financial Adviser is Suspended for Charging Unreasonable Fees and Commissions, State Regulator Enters Cease and Desist Order Against R2B Coin, and Former Pharr Bank Worker Pleads Guilty to $1M Theft Involving Elderly Customers
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Deutsche Bank, UBS, and HSBC Securities Settle Respective Spoofing Cases with the CFTC for $46.6M
:
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AriseBank in Dallas is Accused of Alleged $600M ICO Offering Fraud
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SEC Cases: Woodbridge Agrees to Pay Legal Fees for Investors Harmed in Alleged $1.2B Ponzi Scam, Hoplon Financial Group is Accused of $2.18M Securities Offering Scheme, and Ticket Reserve Settles Investor Fraud Charges
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Goldman Sachs is Lead Plaintiff in Institutional Investor Fraud Lawsuit Against Startup Outcome Health
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Securities Fraud: Fast Food Restaurant Employees Allegedly Posed as SEC Employees to Bilk Investors, Chicago Investment Adviser Pleads Guilty to Defrauding Senior Investors, and Man Awaiting Real Estate Investment Fraud Sentence is Arrested While Trying to Leave the US
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CFTC and Massachusetts Regulator Accuse Bitcoin and Cryptocurrency Operators of Selling Unregistered Securities
:
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HSBC Arrives at $100M Currency Rigging Settlement with DOJ
:
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FINRA Awards more than $4M to Elderly Investors Bilked by Ex-First Allied Securities Broker
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Investors Continue to Go After Goldman Sachs in the Wake of Abacus CDO-Related Losses
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Barclays Capital Trader is Indicted in Massive Front Running Scam
:
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BitConnect Shutters Its Lending and Exchange Operation, Leaving Texas Investors With No Place to Trade Their BCC Currency
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FINRA Cases: Ex-Morgan Stanley Broker and Former Western International Securities Broker Are Barred, Questar Capital Ordered to Pay $797K Restitution Over Mutual Fund Sales, and Morgan Stanley Smith Barney is Accused of Not Sending Millions of Margin Disclosures
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US Supreme Court to Hear Challenge Against SEC Over In-House Judges
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Securities Fraud: Attorney Ordered To Pay Disgorgement in Alleged $15.8M Investor Fraud, and Investment Adviser Accused of Bilking Professional Athletes Pleads Guilty, as Does Hedge Fund Manager In A Separate Investor Scam
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Securities News: Meyers Associates Fined $75K for Sales Literature, Former Royal Bank of Scotland Trader is Banned For Rigging Libor, and Ex-Credit Union CEO is Sentenced in Bank Fraud Case
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Malachi Financial Products is Accused of Defrauding The City of Rolling Fork, Mississippi
:
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SEC Suspends Trading in UBI Blockchain After 900% Stock Jump from Cryptocurrency Craze
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Securities Cases: Petrobras Will Pay $2.95B in Class Action Case, Ex-Och Ziff Hedge Fund Executive is Indicted Over Investment Scam, and Former Banker is Accused of Defrauding Excel Bank of Millions of Dollars
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Criminal Securities Fraud: Former ArthroCare CFO is Sentenced in $750M Scam, Ex-Lawyer of Marti Shkreli is Convicted for Concealing Financial Scheme, and former Bankrate CFO is Accused of Rigging The Firm’s Books
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Texas Securities Regulator Orders BitConnect To Stop Allegedly Fraudulent Sales of Unregistered Bitcoin Investments
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Ex-ConvergEx Group Executive Accused of Defrauding Charities and Retirement Funds Settles Fraud Charges for $975K
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SEC Accuses Broker of Giving Some Customers Preferential IPO Access in Exchange for Over $1M in Kickbacks
:
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Royal Bank of Scotland Settles Mortgage-Backed Securities Fraud Case Brought by Pension Funds for $125M
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Updated:
FINRA Orders Citigroup to Pay $11.5M, Including at Least $6M to Investors, Over Inaccurate Stock Research Ratings
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Multimillion-Dollar Investment Adviser Fraud Cases Target Widows, Older Investors, and Other Retail Investors
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Train Babcock Advisors Charged With $9M Fraud Against Charity Client
:
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Houston Technology Company is Accused of $28M Texas Securities Fraud
:
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Regulators Fine Merrill Lynch $26M and J.P. Morgan Securities $2.8M, Respectively
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Financial Firm News: Raymond James Fined $2M Over Email Supervision, FinMa Finds JPMorgan Chase Responsible for Anti-Money Laundering Violations, and Bank of America, Wells Fargo, Citigroup, and Other Big Banks Get Federal Approval for Their Living Wills
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Updated:
FINRA Warns About Cryptocurrency Related-Fraud
:
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UBS Did Not Fully Disclose the Risks Involved in Puerto Rico Bond Funds to Investors and Brokers, Reports CNBC
:
Updated:
Woodbridge Group and Owner Accused of $1.2B Ponzi Scam that Targeted Over 8,400 Investors, Including Senior Investors
:
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UBS Group Ordered to Pay Former CMBS Strategist Turned Whistleblower $903K
:
Updated:
SEC Suspends Trading in The Crypto Company After 2700% Rise in Its Stock Price
:
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FINRA Cases: Ex-LPL Broker is Barred for Not Disclosing Role in Private Securities Transactions, Merrill Lynch is Fined $1.4M For Extended Settlement Transactions, and Noble Capital Markets Agrees to Pay $225K for Failing to Disclose Conflicts to Investors
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Texas Real Estate Investor Scams Lead to Investor Losses and Criminal Cases
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SEC Cases: Biopharmaceutical Company Accused of Not Disclosing Executives’ Perks, Therapist Allegedly Insider Traded In Zulily Stock, and Immigration Lawyer Faces Claims of EB-5 Investment Fraud
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Securities Fraud: FINRA Bars Two Ex-Wells Fargo Brokers Over Unsuitable Securities Sales, Pennsylvania-Registered Representative is Accused of $2.35M Ponzi Scam, and Digital Display Ad Company Allegedly Stole Over $2M from Retail Investors
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Chicago Investment Manager Indicted Over $10M Fraud
:
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Westport Capital Markets LLC is Accused of Undisclosed Markups as Investors Lose Over $1M
:
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Securities Cases : Ex-Stock Trader Allegedly Made Over $1M from Insider Trading, Investment Advisers Accused of Conflicted Transactions & Misleading Investors, and Ex-Pro Football Player Gets 40 years Behind Bars over $10M Scam
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Updated:
Ameriprise Ordered to Pay $8M Over F-Squared Alpha Sector Strategy Sales
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Ameriprise Ordered to Pay $8M Over F-Squared Alpha Sector Strategy Sales
:
Updated:
Ex-Financial Adviser Settles Private Equity Fund Fraud Charges in Texas
:
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10 Four Points Capital Partners Customers Lose $574K Because of Alleged Broker Fraud
:
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Securities News: Whistleblower is Awarded $4.1M, FINRA Bars Former UBS Broker Who Managed High Net Worth Investor, and Microcap Company Is Accused of Fraud
:
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Hedge Fund Managers Settle SEC Charges Accusing Them of Sharing Confidential Investment Information with Each Other
:
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Hedge Fund Managers Settle SEC Charges Accusing Them of Sharing Confidential Investment Information with Each Other
:
Updated:
Woodbridge Files For Bankruptcy, Misses Payments Due to Investors
:
Updated:
Ex-Illinois Mayor Accused in $5.2M Municipal Bond Fraud
:
Updated:
Texas REIT UDF Files Lawsuit Accusing Hedge Fund Manager of Damaging False Statements
:
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SEC Awards Two Whistleblowers $16M
:
Updated:
$5.4M Senior Investment Fraud Allegedly Involved Penny Stocks
:
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Ponzi Scams: DOJ Begins Paying Distributions to Madoff Victims, Real Estate Investment Scam Allegations Lead to Guilty Plea, and SEC Seeks to Shut Down $38M “Ad Packs” Scheme
:
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FINRA Cases: Craig Scott Capital Expelled Over Excessive Trading Claims, CFD Investments Fined $30K to Resolve Inadequate Supervision Allegations Involving ETFs, and H. Beck Broker is Accused of Making Unsuitable Investment Recommendations
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Ex-Nomura Holdings Manager Gets Prison Time for Insider Trading
:
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SEC Cases: $15.7M Final Judgment Issued in Ponzi Scam that Touted Loans to Athletes, MicroCap Issuer is Accused of Accounting Scheme, and Company’s Assets are Frozen in the Wake of Alleged $5.3M Offering Fraud
:
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Securities Firms: JP Morgan Securities to Pay $1.25 For Inadequate Background Checks of Thousands of Employees and Gray Financial Group Settles with SEC Over Unsuitable Investments to Pension Funds
:
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Hedge Funds Get Rid of Puerto Rico General Obligation Bonds After Hurricane Maria
:
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SEC Cases: NY Town Accused of Municipal Securities Fraud, Jay Peak Owner Accused in $200M Immigrant Visa Fraud Arrives at Tentative Settlement, and Financial Judgment is Reached in $110M Investor Fraud Against Inofin
:
Updated:
Investment Adviser Faces Charges That He Bilked Older Investors of $5.2M
:
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Texas Securities: Investment Adviser Suspended by State Commissioner, Lawyer Ordered to Pay Almost $180K in Disgorgement Plus Interest, and Houston Man Must Pay Almost $3.8M & Serve 46 Months in Prison for $6.4M Diamond Investment Scam
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SEC Cases: Biotech Company Accused of Misleading Investors & Accounting Fraud, Millennium Management Resolves Illegal Short Selling Charges, Day Trader Alleged Engaged in Unauthorized Trades in Over 100 Brokerage Accounts, and Multiple Traders Allegedly Insider Traded Based on One Tip
:
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Credit Suisse Resolves NY Regulator’s Forex Rigging Probe for $135M
:
Updated:
Singer Financial Corp. Accused of Making Illegal Securities Offering of Promissory Notes to Unsophisticated Investors
:
Updated:
Ex- Investment Adviser is Accused of Defrauding Retirees of Over $1.85M
:
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SEC Orders Wells Fargo Advisors to Pay $3.5M Penalty
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CFTC Cases: Commodity Investor Fraud Case Results in $4.5M Default Ruling and Federal Court Orders Arizona Company & Its Owner to Pay Over $2.2M in Anti-Fraud Case
:
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Texas Securities Fraud: Houston Investment Advisor Gets Five Years for Defrauding Investors and Prison Sentences are Rendered in $6.4M Diamond Investor Fraud Case
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Updated:
FINRA Bars NY Broker For Excessive Trading in Blind Senior Investor’s Accounts
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Criminal Securities Fraud: Ex-ARCP CFO Sentenced to 18 Months for REIT Scam, Former Merrill Lynch Broker Pleads Guilty Over Excessive Commissions, and Businessman Convicted For Defrauding Washington Mutual Bank
:
Updated:
UBS to Pay $3.5M Penalty To Settle Allegations that It Disadvantaged Retirement and Charity Accounts During Mutual Fund Transactions
:
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SEC Orders 235 LLCs to Produce Documents Related to Its Woodbridge Fraud Probe
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FINRA Cases: Ameritas to Pay $180K Fine Over Variable Annuity Sales, UBS Ordered to Pay Former Broker $3M for Defamation, and 13 Investors Awarded $5M After Losses Allegedly Caused by Ex-LPL Financial/Edward Jones Broker
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Credit Suisse and MBIA Insurance Continue to Fight Over Mortgage-Backed Securities Fraud Claims in Court
:
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Securities Fraud Settlements: HSBC, Deutsche Bank, and Citi Settle Libor Class Action for $132M & RBS Settles Mortgage Bond Trading Case for $44M
:
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Securities Cases: NYSE Regulation Files Complaint Against Wedbush Securities, Ex-Apollo Management Sr. Partner is Accused of Billing Investors for Salon Visits & Vacations, and NY Money Manager & Ex-Investment Adviser Get Prison Sentences for Fraud
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After Hurricane Maria, Mutual Fund Company Franklin Resources Sells Hundreds of Millions of Dollars of Puerto Rico Bonds
:
Updated:
Deutsche Bank Agrees to Pay $220M to Resolve Libor Rigging Probe
:
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Two Ex-Ameriprise Financial Services Brokers Settle With FINRA Over Margin Trades
:
Updated:
Securities News: Ex- HSBC Executive Found Guilty of Fraud Involving $3.5B Currency Trading & Hedge Fund Sues Barclays For Copper Market Rigging
:
Updated:
California Extends Sanctions Imposed Against Wells Fargo Following More Bad Practice Disclosures
:
Updated:
NY Investment Adviser Accused of Bilking Non-Profit of $9M
:
Updated:
Massachusetts Accuses Investment Adviser of Venture Capital Fraud
:
Updated:
Mining Company Rio Tinto Accused of Fraud, Settles with FCA for $36M
:
Updated:
FINRA Goes After Two Brokers for Variable Annuity Replacement Fraud
:
Updated:
Jury Rules Against Former F-Squared CEO in SEC’s ETF Fraud Case
:
Updated:
Wells Fargo Brokerage Firms Ordered to Pay $3.4M Over Unsuitable Exchange-Traded Product Recommendations
:
Updated:
Oppenheimer Funds and Other Mainland Funds Take Financial Hit in the Wake Up of Hurricanes
:
Updated:
SEC Cases: Whistleblower Awarded Over $1M, Lawyers Accused in Microcap Fraud, and Former Executives Are Charged in $3.3B Accounting Fraud Involving Homex
:
Updated:
SEC Charges Investment Adviser With Defrauding Seniors Who Were His Friends
:
Updated:
Barclays Fights $31B Residential Mortgage-Backed Securities Fraud Lawsuit
:
Updated:
Barred Broker Accused of Bilking Retirees and Other Investors of $6M
:
Updated:
Deutsche Bank Resolves US Currency Rigging Case for $190M
:
Updated:
Former Mortgage Security President Pleads Guilty to Defrauding Ginnie Mae of $2.5M
:
Updated:
NY Investment Adviser Charged in $19M Ponzi Scam
:
Updated:
Judge Approves $31M Class Action Securities Settlement Over RCS Capital Shares
:
Updated:
Ex-Broker Ordered to Pay $550K For Bilking Modest Income Investors in ETN/ETF Fraud Had Previous Unsuitable Investment Claims Against Him
:
Updated:
FINRA Charges Sandlapper Securities Over Fraudulent Private Placement Markups of Up to 270% Involving Texas Saltwater Disposal Wells
:
Updated:
Puerto Rico Bond Fraud Cases Name Former Morgan Stanley Broker Angel Aquino-Velez
:
Updated:
HSBC Ordered to Pay $175M Fine Over Forex Trading Oversight
:
Updated:
SEC Cases: Ex- IT Executive Accused in Stockholder Fraud, Regulator Stops E-B5 Scam in California, and Businessman is Accused of Using Investor Money to Buy Green Bay Packers Tickets
:
Updated:
Securities Fraud: Ex-LPL Rep is Indicted in Colorado, 15 Convictions in Indiana Securities Case, North Carolina Analyst Faces Criminal Charges, and ex-Illinois Investment Banker is Accused of Insider Trading
:
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Three Ex-Alexander Capital Brokers Charged with Making Unsuitable Recommendations That Cost Investors
:
Updated:
Appeals Court Upholds $839M MBS Fraud Judgment Against Royal Bank of Scotland Group & Nomura
:
Updated:
Ex-Investment Manager Gets 12-Years in $96M Ponzi Scam
:
Updated:
Morgan Stanley to Pay $13M Over Improper Supervision of Unit Investment Trust Sales
:
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Hilliard Lyons Ordered to Pay $569K For Allegedly Overconcentrating Accounts in Breitburn Energy Partners
:
Updated:
SEC Hacking Raises Concerns That Rogue Traders Might Access Filings in EDGAR Before They Are Public
:
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Former UBS Precious Metals Trader is Accused of Market Rigging
:
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Securities Fraud Cases: State Street to Pay Over $35M Over Alleged Secret Markup Charges and Material Omissions, Braskem to pay Investors $10M To Settle Lawsuit in Petrobas Scandal, & Three Ex-Registered Reps Resolve Market Rigging Case over Attempted Nasdaq Listing
:
Updated:
Brothers Plead Guilty in $40M Oregon Ponzi Scam That Bilked 400 Investors
:
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Alleged $283M Institutional Investor Fraud Involving Biotech Companies Leads to Criminal Indictments
:
Updated:
Insider Trading: Ex-Amazon Financial Analyst Allegedly Tipped Former Fraternity Brother, Man Accused of Giving Merger Info to Brother, Ex-Pricewaterhouse Coopers Auditor is Subject of Securities Case, and Deutsche Börse to Pay $12.5M in Fines
:
Updated:
After Hurricane Maria and Loss of Power in Puerto Rico, PREPA Bondholders Could Lose Investments For Good
:
Updated:
Securities Cases: SunTrust Settles Improper Mutual Fund Fee Charges for $1.1M, Ex-Morgan Stanley Barred Over Client He Later Married, and Two RIAs Are Barred for Cherry Picking
:
Updated:
FINRA Hearing Panel Orders C.L. King & Associates to Pay $750K Over Inadequate AML Program
:
Updated:
Securities Fraud: Mike Tyson’s Ex-Financial Adviser Gets 33-Month Prison Term, Alleged $15M Oil Drilling Investment Scam Leads to SEC Charges, and FINRA Warns Investors of Possible Stock Schemes After Hurricane Harvey
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Updated:
Ex-F-Squared CEO on Trial Against SEC in Exchange-Traded Fund Fraud Case
:
Updated:
US Sues Ex-Head Deutsche Bank Trader for Subprime Mortgage Fraud
:
Updated:
Thema International Reaches $687M Settlement Over Madoff Ponzi Scam
:
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NJ Investment Adviser Allegedly Used Investor Funds to Pay Gambling Bills, Radio Host is Accused of Bilking Investors of Over $5M in Ticket Resale Scheme, & Pennsylvania Man Pleads Guilty to Felony Charges
:
Updated:
Mutual Fund Lord Abbett’s Institutional Investor Fraud Lawsuit Against Valeant Pharmaceuticals Could Seek Over Three Times The Losses Alleged
:
Updated:
Ex-Morgan Stanley Broker Pleads Not Guilty to Insider Trading
:
Updated:
Ex-Virginia Investment Company Owner Arrested in Nearly $20M Fraud
:
Updated:
UBS Fights Insurers’ $20 Million Lawsuit Over Puerto Rico Bond Claims
:
Updated:
FDIC’s Libor Rigging Lawsuit Against Deutsche Bank, UBS, Royal Bank of Scotland, and Others in the UK Accuses Defendant Banks of Lowballing Benchmark Interest Rate Figures
:
Updated:
FINRA Bars Ex-HSBC Securities Broker Over Alleged $200K Senior Financial Fraud
:
Updated:
Securities Cases: FINRA Fines and Suspends Ex-Morgan Stanley Broker For Trying to Settle Without Firm Authorization, SEC Accuses Connecticut Financial Representative of Elder Financial Fraud and Freezes Assets of Ex-Colorado Broker for Allegedly Stealing Investor Funds
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Updated:
Former Investment Adviser Gets Five Years in Prison for Stealing Over $600K From Clients
:
Updated:
US Bank Sued by Pension Funds Over $25B Tribal Bond Fraud Involving Jason Galanis
:
Updated:
Ex-Financial Adviser Dawn Bennett Faces SEC and Criminal Charges Over Alleged $20M Investor Fraud
:
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Securities Cases: Bank of America and Deutsche Bank Settle Agency Bond Rigging Litigation for $65.5M & Pension Funds Sue Citigroup, JP Morgan, and Other Big Banks Over Stock Lending Market Rigging Allegations
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Securities Fraud: Ponzi Scammer Tim Duncan Must Pay $1. 3M, Former ArthroCare CEO is Convicted Again in $750M Scheme, & Former Summit Wealth Management CEO is Sentenced to Eight Years
:
Updated:
NASAA Survey Finds That Number of Senior Financial Fraud Incidents is Growing
:
Updated:
Five Cetera Broker-Dealers Settle With FINRA for $3.3M Overcharging Mutual Fund Sales Fees to Charitable Organizations and Retirement Plans
:
Updated:
Investment Adviser Accused of Bilking Pro Athlete
:
Updated:
Despite FINRA Securities Arbitration Victory Against Wine Mogul, Fidelity is Accused of Prioritizing Its Own Interests
:
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Massachusetts Regulator Galvin Investigates Whether Exchanges Are Giving Kickbacks to Brokers for Making Institutional Investor Trades
:
Updated:
Investors Continue to Bring Puerto Rico Bond Fraud Claims Against UBS For, Among Other Things, Encouraging Them to Use Non-Purpose Lines of Credit to Purchase Securities
:
Updated:
$5M Insider Trading Case Leads to Criminal Arrests
:
Updated:
Securities Fraud: Investment Manager is Accused of Bilking Retired Teacher of $950K, Ex-U. Va Football Player is on Trial in $9M, and Former Investment Adviser Pleads Guilty
:
Updated:
FINRA Cases: Hallmark Investments is Expelled For Fraud and FSC Securities Must Pay $592K Over Exchange-Traded Fund Sales
:
Updated:
Ex-Investment Banker is Sentenced for Tribal Bond Fraud
:
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Securities News: Citigroup Settles Libor Lawsuit for $130M, Apollo Global is Sued for Fraud, and Ex-MSD Capital Analyst is Sentenced After Insider Trading
:
Updated:
Madoff Ponzi Scam Caused Investors to Pull $363B in Investments, Reports Study
:
Updated:
Ex-Hedge Fund Manager Martin Shkreli is Convicted of Securities Fraud
:
Updated:
Aurelius Capital Files Lawsuit Seeking To Have Puerto Rico Bankruptcy Case Dismissed
:
Updated:
Texas-Based Oil and Gas Company CEO Accused of Misappropriating Investor Funds
:
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Securities Fraud: Ex-Gerova Financial Head is Sentenced to Six Years, Black Elk Claims Reinsurer Aided Platinum Fund Scam, and Bank of Tokyo-Mitsubishi Is Accused of Spoofing
:
Updated:
Massachusetts Files Criminal Charges Against Charges Hedge Fund Manager Over Multi-Million Dollar Ponzi-Like Scam
:
Updated:
Four Ex-Brokers Accused of Fraud that Allegedly Targeted Federal Retirees
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SEC Cases: Charges Filed Against Massachusetts Man Accused of Misappropriating Investor Funds to Pay Rent of Fiancée’s Restaurants & $2M Offering Fraud Allegedly Targeted 70 Non-Accredited Investors
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Securities News: Deutsche Bank, Citigroup, JPMorgan, and Interactive Brokers Are Fined for Market Access Violations & Halliburton Settles FCPA Charges for $29.2M
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Libor to Be Phased Out in 2021
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SEC Announces Two Whistleblower Awards of $2.5M and $1.7M, Respectively
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Texas Company Settles SEC Charges Alleging Oil and Gas Offering Fraud
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SEC Files Charges in Alleged Prime Bank Fraud
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SEC Cases: NY Lawyer Accused of Shell Company Stock Fraud, Research Scientist is Charged with Insider Trading, Officer in Pyramid Scam That Targeted Latinos Must Pay Disgorgement, and Two Men Are Accused of Price Rigging
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Expanded Texas Securities Case Indicts Six in Multimillion Dollar Pump-and-Dump Scam
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Ex-NY Man Who Fled as a Fugitive to Vietnam Pleads Guilty in $10M Fraud
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Hedge Funds Sue The U.S. Government Over Puerto Rico Bonds
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Two More Texans Plead Guilty in $6.5M Diamond Investment Scam
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Three Ex-Traders Who Worked for Barclays, JPMorgan, and Citigroup Plead Not Guilty to Forex Rigging Charges While BNP Paribas is Fined $246M
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Financier Who Bilked Family and Friends of $23M Investment Fraud Gets Three Years in Prison
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Investment Fraud: Retired NBA Star’s Ex-Financial Adviser is Barred by the SEC, Former Investment Adviser Pleads Guilty in $1.1M Scam, Convicted Broker is Sentenced to 18 Months, and One-Time Pastor Must Pay Back Over $1M to Victims
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14 People Charged In $14.7M Stock Rigging Fraud That Bilked Senior Investors
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Securities Fraud: Massachusetts Hedge Fund Manager Sentenced to 30 Months for Bilking Investors, Northeast Securities Ordered to Pay Customer $1.8M, and Ex-State Street Executive Pleads Guilty in Scheme Involving Secret Commissions
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Royal Bank of Scotland Settles FHFA’s MBS Securities Probe For $5.5B
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CFTC Cases Over Commodity Pool Fraud, Misappropriation, and Illegal Wash Sales Lead to Civil Penalties and Other Consequences
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Judge Rules That Aequitas Investors’ Securities Fraud Lawsuit Against TD Ameritrade and Others May Proceed
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SEC Investigates Morgan Stanley and Barclays Bankers Over Puerto Rico Bond Sales
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Charitable Foundation Sues PJT Partners Over Andrew Caspersen Ponzi Fraud
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SEC Cases: Real Estate Agent Accused in Ponzi Scam, Oil Company Charged in $2.4M Offering Fraud, and NY Private Equity Fund Adviser Resolves Negligence Claims
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Securities Cases: Jury Renders Guilty Verdict in Ex-ARCP CFO Brian Block’s REIT Fraud Trial & Witnesses Testify Against Ex-Hedge Fund Manager Martin Shkreli
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Cleveland Cavaliers Player Richard Jefferson is Allegedly Bilked by Former Business Manager of $7M
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Houston Adviser Pleads Guilty to $1.9M Texas Financial Fraud
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CFTC Cases: Non-Prosecutorial Deals Reached With Ex-Citigroup Traders Over Spoofing Allegations, NY-Based Firm is Barred From Commodity Interest Trading, and Regulator Alleges Fraud Involving Forex Trading of a Pooled Investment
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SEC Accuses Ex-COO of Penny Stock Fraud
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SEC Cases: Oil and Gas Company is Charged With Accounting Fraud, Utah-Based Broker-Dealer is Accused of Not Complying With Anti-Money Laundering Laws, and Hemp Oil Company Allegedly Inflated Assets
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UBS Financial Services of Puerto Rico Ordered to Pay Investors $793,000 Over Muni Bond Sales
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Dallas Cowboys Player Files Texas Securities Fraud Case Against Ameriprise
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Jury Selection Underway in Securities Fraud Case Against Ex-Hedge Fund Manager and Pharmaceutical CEO Martin Shkreli
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US DOJ Sues for Assets That May Have Been Stolen from 1MDB Fund
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Investor Fraud: Massachusetts Adviser Sentenced in Cherry Picking Scam, Jury Convicts Indiana Man Accused of Bilking 22 Clients, Lawyer Accused of Bilking EB-5 Immigrant Program Investors, and Fake Fund Manager Will Go to Prison
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FINRA Fines Wells Fargo $3.25M Over OTC Options Trading Reporting
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UK Files Criminal Charges Against Barclays With Fraud Involving Qatari Investors
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Market Rigging: NJ Stock Promoters Face SEC Charges, Another Pleads Guilty to Criminal Charges, and Engineer is Accused of Manipulating Fitbit’s Stock
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Securities Fraud: Ex-American Reality Capital Properties CFO is On Trial, Abu Dhabi Investor’s Lawsuit Against Citibank is Revived, and Drivers File Class Action Case Against Juno
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$70M Ponzi Scam Leads to 5-Year Prison Term for Texas Man Who Bilked Christian Investors in Affinity Fraud
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Benchmark Rigging: Deutsche Bank to Pay $170M Over Euribor Fixing Allegations, UK Court Agrees to Hear Libor Swaps Case Against RBS, and Ex-Barclays, Citigroup, and JPMorgan Traders to Face Currency Manipulation Charges in the US
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Jury Finds One Former Nomura Trader Guilty, Acquits Another in RMBS Fraud Case
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FINRA Promises To Take Tougher Stance With Rogue Brokers
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Institutional Investor is Lead Plaintiff In Securities Case Claiming $300M in Shareholder Losses
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FINRA Claims That It Can’t Stop Firms From Hiring High-Risk Brokers
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US Supreme Court Restricts SEC’s Ability to Recover Monies Made from Illegal Conduct
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Bank of America Unit Settles Auction-Rate Securities Fraud Lawsuit by Tutor Perini for $37M
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Despite Bankruptcy and Massive Losses, Traders Are Still Selling Puerto Rico Bonds
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Two Former State Street Executives to Plead Guilty in Institutional Investor Fraud Involving Billions of Dollars of Trades
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Financial Representative Misconduct: Rep. Who Didn’t Disclose $100M in EB-5 Investment Sales is Barred From Securities Industry, Ex-Stifel, Nicolaus Broker is Suspended & Fined For Variable Annuity Violations, and Former Advisor is In Trouble Over Alleged Breaches Involving Senior Investors Accounts
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Former Sterne Agee Broker Pleads Guilty to Securities Fraud Involving NY Pension Fund
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NY Man is Charged in $70M Investor Fraud
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Securities Cases: David Lerner Associates Settles Nontraded REIT Sales for $700K, RBS Resolves Investor Lawsuit, and HSBC Holdings Settles More Libor Rigging Claims
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BNP Paribas Settles NY Currency Rigging Investigation for $350M
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Judge Stops $16 Million Interest Payment on COFINA bonds in Puerto Rico Bankruptcy
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More Pro Athletes Victimized by Fraud
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Securities Fraud Cases: Ponzi Scam Operator Sentenced to Prison, Fund Manager Pleads Guilty, Ex-Options Trading Instructor Allegedly Misappropriated Investor Funds, & $1.7M Financial Scam Leads to 10-Years Behind Bars
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Massachusetts Hedge Fund Manager Faces Criminal and Civil Fraud Charges Over Alleged Multi-Million Dollar Ponzi Scam
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Thousands of Madoff’s Ponzi Scam Victims Have Yet to Get Any of Their Money Back
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Ex-Deutsche Bank Executives Reportedly to Pay for Misconduct
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Investors Continue to Pursue Puerto Rico Bond Fraud Recovery From Santander Securities
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SEC Stops $22M Texas-Based Securities Scam
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Ex-Hedge Fund Manager Pleads Guilty to $9M Investment Scam that Defrauded Investors Nearing Retirement
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Ex-Nomura Head Traders Charged With Securities Fraud
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Hedge Funds and Pensioners Scramble For Debt Payment Owed To Them By Puerto Rico
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Court Upholds Ambac Assurance to Higher Burden of Proof in MRBS Fraud Case Against Countrywide
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Ex-Essex Holdings CEO Gets 15 Years For $33M Ponzi Scams
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Insider Trading: SAC Capital Advisors Settles with Investors, Former Portfolio Manager Seeks New Trial, and Jury Convicts Ex- MLB Player
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Texas Securities Fraud Cases by Investment Promoters Lead to Civil and Criminal Charges
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Hedge Funds Under Investigation Over Bond Valuations
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SEC Cases: Barclays Will Pay $97M for Overcharging Clients, Regulator Accuses Ex-Staffer of Securities Fraud, Whistleblower is Awarded Over $500K, and Two Chinese Citizens Face Penny Stock Scam Allegations
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Securities Cases: Verto Capital Settles Life Settlement Charges, Couple File Broker Fraud Claim Against NY Life Securities, JCPenny to Settle Texas Class Action Lawsuit for $97.M, & Cetera Admits to Charging Investors More For Mutual Funds
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Massachusetts Fines LPL Financial $1M For Advisers’ Alleged Misrepresentations, Failure to Disclose Commissions
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UBS and Credit Suisse Settle Mortgage-Backed Securities Cases With for $445M and $400M, Respectively
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Puerto Rico Files for Title III Bankruptcy Protection
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Bondholders and Hedge Funds Sue Puerto Rico After Litigation Stay Expires
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SEC Orders Barclays to Pay Over $16.5M Over Alleged RMBS Fraud by Former Traders
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Securities Cases: BlackRock Fund Advisers To Pay $1.5M Over ETF Violation, Wilson-Davis Resolves Market Structure Rule Violation Allegations, & CFTC Adds 71 Foreign Entities to RED List
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Securities Cases: Texas Woman Accused of Bilking 35 Investors, Ex-NJ Investment Adviser is Found Guilty of Fraud, and Insurance Agent Pleads Guilty in $8.2M Promissory Note Scam
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Securities Crimes: Trader Jesse Litvak is Sentenced to Prison for MBS Fraud—Again, North Carolina Who Bilked NFL Players Will Serve Prison Time, and Ex-Stockbroker Gets Jail Time and Must Pay $3.5M to Investors
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Securities Fraud: FINRA Bars Ex-UBS Broker, Imprisoned Former LPL Financial Broker Faces SEC Charges, and SEC Refiles Unregistered Securities Fraud Case
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SEC Insider Trading Cases Lead to Civil Charges, Frozen Brokerage Accounts, and Restitution
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FINRA Files Complaint Against Ex-Broker Over Variable Annuity Sales to Elderly Customers
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SEC Files Broker Fraud Charges Alleging Unsuitable Investments Involving Exchange Traded-Funds and Exchange Traded-Notes
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Whistleblower Awarded Almost $4M by SEC
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Securities News: Deutsche Bank Fined $157M For Violating Volcker Rule, CFTC Charges Couple With Hedge Fund Fraud, & SEC Accuses Oil and Gas Promoter of Inflating AUM
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Securities Fraud: Former Merrill Lynch Broker Admits to Bank Fraud of More than $8M, Theranos Investors Claim Company Threatened Bankruptcy if Sued, & Arkansas Retirement System’s Pension Fund Agrees to More than $28M Settlement
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SEC Charges Texas Oil and Gas Promoter With Securities Fraud
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SEC Investigates Statim Holdings After Hedge Fund Investors Are Promised They Won’t Lose Any Money
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SEC Investigates Statim Holdings After Hedge Fund Investors Are Promised They Won’t Lose Any Money
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Securities Fraud: Ex-Broker Gets Prison Sentence for $1.2M Elder Financial Fraud, Massachusetts Man Admits to Bilking Neighbors, & More Than Two Dozen 27 Parties Under Fire Over Alleged Stock Promotion Scams
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Raymond James to Pay $150 Million Settlement Involving Alleged EB-5 Investment Fraud
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Broker Fraud: FINRA Arbitration Panel Awards Investor $1M After Misleading Variable Annuities Sales Pitch, Broker-Dealer Owner Gets Prison Sentence in $100M Stock-Loan Scheme, & Fugitive Broker is Arrested After 20 Years On the Run
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Swaps Interest Rate Cases: FHLBNY Settles With Lehman Brothers for $70M & Banco Santander and Portugal Come to An Agreement
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Swaps Interest Rate Cases: FHLBNY Settles With Lehman Brothers for $70M & Banco Santander and Portugal Come to An Agreement
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Updated:
Austin Oil and Gas Financiers Plead Guilty in Texas-Based Securities Fraud Case
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Updated:
Puerto Rico Debt: Creditor Sues Bank of New York Mellon Over COFINA’s Revenue and Pension Participants File Lawsuit to Stop Island’s Proposed Fiscal Plan
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Morgan Stanley to Pay Massachusetts $1M to Settle Charges Alleging Unethical Sales Contests Involving Brokerage Customers
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PREPA and Its Bondholders Arrive at Deal to Restructure Almost $9 Billion in Puerto Rico Debt
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Municipal Bondholders Sue Bank of Oklahoma Financial
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Securities Cases: SEC Fines Credit Suisse $8M Over Improper Investments, $5M Investment Fraud Case Leads to Guilty Plea, and Florida Man is Ordered to Pay Back Investors $2.9M
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Retired San Antonio Spurs Star Tim Duncan’s Ex-Financial Adviser Pleads Guilty To Texas Securities Fraud
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Federal Judge Orders Wells Fargo to Face Institutional Investors’ MBS Fraud Lawsuits
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CFTC Cases: Ex-Citigroup Global Markets Traders Settle Spoofing Charges and Vision Financial Partners to Pay Over $6.5M in Off-Exchange Binary Options Fraud Case
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Updated:
UBS Financial Services Ordered to Pay Many Millions to Another Investor For Puerto Rico Bond And Closed-End Fund Losses
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Securities News: Deutsche Bank Unit Ordered to Pay $150M for Libor Rigging, FINRA Bars Broker Indicted in NY Pension Fund Scam, and Hedge Fund Manager Who Lost Investors’ Money In Madoff Ponzi Scam Commits Suicide
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Pastor Faces Affinity Fraud Charges Alleging that He Bilked Retirees, Church Members, & Laid-Off Auto Workers
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Updated:
Stronger Enforcement of Civil Penalties Act Seeks To Raise SEC Enforcement Penalties
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SEC Uses Restraining Order Against Chicago-Based Investment Adviser, Alleges Massive Senior Fraud
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Updated:
Indiana Public Retirement System’s Institutional Investor Fraud Case To Be Heard by US Supreme Court
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MBS Fraud Cases: Wells Fargo, Deutsche Bank AG, and Royal Bank of Scotland Reach $165M Class Action Settlement, Bank of NY Mellon Ordered to Face $1B Lawsuit Brought by Commerzbank, and Judge Says Royal Park Must Better Define “Class” in Securities Case
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Securities Fraud: RIA and Broker Will Go to Prison Over $15M Scam, Ohio Financial Adviser Pleads Guilty in Senior Financial Abuse Case, and SEC Wants Ex-Financial Investment Broker Barred
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Dallas Financial Adviser Indicted in $3M Texas Investment Fraud
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FINRA Headlines: Dawn Bennett Loses $1M Gold ETF Claim, Regulator Bars NJ Broker-Dealer, and Investors Are Warned About Binary Options Follow-Up Fraud
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US Attorney’s Office Charges Two Ex-China Medical Technologies Executives in $400M Securities Fraud
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Rhode Island Investment Adviser Goes To Prison Over $21M Ponzi Scam
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Insider Trading Cases: Ex-Oppenheimer Adviser Sentenced to Six Months, Las Vegas Sports Gambler is on Trial, and SEC Files Civil Case Against Ex-Home Security Guard
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Updated:
Stifel Ordered to Pay Back Retired Couple More Than $100K For their Puerto Rico Bond Fraud Losses
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Securities News: SEC Orders Voya to Pay $3.1M For Not Disclosing Mutual Fund Sale-Related Payments, FINRA Bars Ex-Waddell & Reed Broker, and Alabama Pension Fund Loses Millions in Ponzi Scam
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Updated:
Aegis Capital Under Investigation by FINRA, FINCEN and SEC
:
Updated:
SEC May File Fraud Charges Against Navellier Over F-Squared Investments-Related ETF Strategies
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Updated:
Wells Fargo Advisors Must Pay $357K Securities Arbitration Award Over Unsuitable Investments
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Securities Fraud: Ex-BB & T Securities is Suspended Over Unauthorized Private Securities Sales, Fired Merrill Lynch Broker is Fined for Accepting Customer Gifts, Louisiana Investment Adviser is Convicted in $9.5M Scheme, & Jury Issues First Criminal Municipal Bond Issuance-Related Conviction
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Investors File Nontraded REIT Fraud Lawsuit Accusing Nicholas Schorsch And Others of Stealing from RCAP
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Securities News: Tax Reporting Mistake Costs Morgan Stanley $70M, SEC Accuses Trading Firm & Broker-Dealer of Manipulation, Layering Schemes, and RD Legal Capital’s Hedge Fund is Accused of Targeting Injured NFL Players & 9/11 Responders
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Texas Securities Fraud: San Angeleno Man Goes to Prison over $900K Investment Scam, Jury Convicts Houston Couple For Bilking California Bank, and Dallas Twins Go to Jail Over Ponzi Scam
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Defendants Convicted of Ponzi Scam That Touted Loans to Professional Athletes Are Sentenced to Prison
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Hedge Funds Pursing More than $3B From PriceWaterhousCoopers in MF Global Lawsuit
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Updated:
Dallas, TX Man Pleads Guilty in $131M Broker Fraud Case
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SEC Charges Chinese Citizens Over Alleged $29M Insider Trading Tied to Comcast-DreamWorks Acquisition
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Elder Financial Fraud: Ex-K.C. Ward Financial Rep. Barred Over $15M in Unsuitable Investments
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Oceanografía Sues Citigroup, Claims Alleged Multi-Million Dollar Fraud at Banamex
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Criminal Securities Fraud: Ex- CEO Extradited From Namibia is Sentenced to 30-Months, Long Island “Mini Madoff’s Associate Goes to Prison Over $400M Scheme, and the Trial of Two Ex-Barclays Traders is Underway in the UK
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Securities Cases: Broidy Wealth Management Advisors Founder Pleads Guilty to Fraud, Bondholders File Arbitration Claim Against BOK Financial, and SEC Files Complaint in $5M Pyramid Scam
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As General Obligation Bondholders Get Go Ahead on Their Bond Fraud Case Against Puerto Rico, COFINA Creditors Seek to Intervene
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Institutional Investor’s CDO Fraud Case Against Patriarch Partners, Lynn Tilton to Proceed
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Institutional Investor’s CDO Fraud Case Against Patriarch Partners, Lynn Tilton to Proceed
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FINRA Orders UBS to Pay Shepherd, Smith, Edwards & Kantas Client $9 Million Over Puerto Rico Municipal Bond and Fund Investment Losses
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Following $586M Settlement, Western Union is Now a Defendant in Class Action Securities Case
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Updated:
New AARP Study Says Older Investors Involved in Unregulated Investments May Be at Higher Risk of Becoming Fraud Victims
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Purshe Kaplan Sterling Investments Must Pay Native American Tribe $3.4M Over Excessive Sales Charges Involving Nontraded REITs and BDCs
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Dallas Investment Firms Charged with Texas Securities Fraud in Alleged Ponzi Scam
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SEC Cases: Man Who Claimed to Be Real Estate Manager to Pay over $500K and Fuel Cell Company Executives Face Criminal and Civil Charges Over Investor Fraud
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Self-Dealing Allegations: New York Life Settles 401(K) Case for $3M & Lawsuit Against T. Rowe Price Claims Plan Participants Paid $27M More in Fees
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Texas Securities Fraud Leads to Expulsion for Red River Securities and $24.M in Investor Restitution
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Securities Cases: LPL Financial Fined $900K for Record-Keeping Issues, NY-Based Broker Deal to Pay $100K for Trading Surveillance and Compliance Failures, and Private Equity Adviser is Barred Over Improper Fund Withdrawals
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Morgan Stanley to Pay $8M To Settle Exchange Traded-Fund Investment Charges
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CFTC Orders Citigroup to Pay $25M for Spoofing, Supervisory Failures
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Securities Fraud: Prison Sentence Issued in $39M Ohio Penny Stock Scam, SIPC Warns About Fraud Invoking Its Name, & Investors Sue Banc of California
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Updated:
Ex-Financial Adviser To Mike Tyson, Glen Rice, and Dikembe Mutombo Pleads Guilty to Criminal Fraud
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Updated:
SEC Charges Connecticut RIA with $3.95M Fraud, Ex-Morgan Stanley Financial Adviser with $5M Securities Scam
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Updated:
Benchmark Fixing: Former Deutsche Bank & Barclays Traders Plead Not Guilty to Euribor Rigging and Royal Bank of Scotland Will Pay $85M Penalty to Settle US ISDAFIX Manipulation Allegations
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Connecticut Investment Bank Ordered to Pay Elderly Investors $1.25M & New Study Shows Older Investors With Mild Impairment May Be Vulnerable to Fraud
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Aon Hewitt Accused of Kickback Scam with Financial Engines in 401(K) Lawsuit
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Aon Hewitt Accused of Kickback Scam with Financial Engines in 401(K) Lawsuit
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Puerto Rico Defaults on More Debt Payments
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Securities Cases: NY/NJ Port Authority Accused of Not Disclosing Municipal Bond Risks, FINRA Expels Lawson Financial for Fraud, and SEC Brings More FCPA Violation Charges
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Criminal Cases: Hedge Fund Manager is Sentenced for Bilking Veterans of $1.8M, Charges Brought Over $81M Ponzi Scam Involving Hamilton Tickets, and Indictment in $17M Ponzi Scam is Dropped
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Deutsche Bank Fined $630M Over $10B in Bogus Trades That May Have been Tied to Russian Money Laundering
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Securities Fraud Cases: Ex-Jefferies Bond Trader is Convicted Again, RBS Puts Aside $3.92B for Expected Mortgage-Backed Securities Fraud Settlement, and Judge Won’t Overturn Jury’s Findings In Miami Municipal Bond Fraud Case
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SEC Cases: Citigroup to Pay $18.3M for Overbilling Clients, Strategic Capital Management is Banned Following $1.3M Cherry Picking Scam, & 10 Investment Advisory Firms Settle Pay-to-Play Violation Charges Involving Pension Fund Fees
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Updated:
JPMorgan and Schwab Are Sued in 401(K) Lawsuits
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Updated:
Windsor Street Capital Charged in Connection with Pump-and-Dump Scam
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Updated:
SEC Issues $7M Whistleblower Award
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Updated:
Citigroup and Morgan Stanley to Pay Over $5.9M to Settle SEC Charges That They Misled Investors About Forex Trading Program
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Updated:
Residential Mortgage-Backed Securities Cases: Société Générale Settles US Government’s Securities Fraud Case for $50M & Judge Rules that Institutional Investor Fraud Lawsuit Against Deutsche Bank May Proceed
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MC2C Capital Accused of Ponzi Scam, Hedge Fund Fraud
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State Street to Pay Over $64M to Settle US Probes Over Secret Fees Charged to Institutional Clients
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Securities Fraud: Jury Convicts Former Visium Portfolio Manager, Boston-Ex-Hilliard Lyons Broker Accused of Unauthorized Trades is Barred by FINRA, and Utah Businessman is Charged with Bilking Investors In $100M Ponzi Scam
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Updated:
BlackRock and HomeStreet Are Accused of Trying to Impede Potential Whistleblowers
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Deutsche Bank and Credit Suisse Finalize Securities Mortgage Securities Fraud Settlements with the DOJ Are Now Final and JPMorgan Resolves for $55M Case Accusing Bank of Working With Racist Brokers
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SEC Cases: Morgan Stanley to Pay $13M for Custody Rule Violations and Overbilling Clients, BNY Mellon to Settles Allegations of Reported Miscalculations By Paying $6.6M, and Citadel Securities to Pay $22M for Purportedly Misleading Clients About Pricing Trades
:
Updated:
Moody’s Corp. Settles With US Government, States Over Pre-Crisis Mortgage Securities Ratings for Almost $864M
:
Updated:
UBS Ordered to Pay Another $18M in Puerto Rico Bond Fraud Case
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Updated:
Pension Fund Lawsuit Against Volkswagen is Allowed to Proceed
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Puerto Rico Bond Cases: 1st Circuit Revives Pension Fund Lawsuit & FINRA Arbitration Panel Orders Oriental Financial Services and Santander Securities to Pay Over $808K
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Securities Fraud Cases: Connecticut-Based Investment Adviser Settles Fraud Charges that Allegedly Involved Secret Referral Fees, Jefferies Bond Trader’s Second Criminal Fraud Trial is Underway, Former Barclays Trader Gets 5-Month Prison Term in Insider Case
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Updated:
President-Elect Trump’s SEC Chief Pick Has Strong Ties to Big Banks
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Hedge Fund Fraud: SEC Partially Overturns Ruling Against Investment Adviser But Raises Amount He Owes & Jury Selection Begins in Former Visium Fund Manager’s Bond Fraud Case
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Updated:
SEC Charges NY-Based Brokers with Fraud, Excessive Trading
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Updated:
Ex-MF Global CEO Jon Corzine Settles Securities Fraud Case Brought by the CFTC for $5M
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Updated:
Retiree Files $1M Securities Arbitration Claim Against Morgan Stanley
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Updated:
SEC Awards Whistleblower $5.5M
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Updated:
Ex-Jefferies Group Bond Trader Gets Another Trial in RMBS Fraud Case
:
Updated:
Halliburton to Pay $100M to Settle Securities Fraud Class Action Lawsuit Originally Brought in Dallas
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Refusal to Testify Before Finra Over Securities Allegations Lead to Industry Bars for Former Merrill Lynch, RBC Capital Markets, and JP Morgan Brokers
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SEC Cases: IT Specialist Settles Insider Trading Charges For Over $375K, San Francisco Firm Pays $80K for Unregistered Swaps Sales Involving Pre-IPO Companies, and EB-5 Fraud Cases Lead to Settlement for Florida Businessman and Civil Charges For California Lawyer
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Updated:
$335M Mortgage-Backed Securities Settlement for PSERS, Other Institutional Investors is Approved in Class Action Lawsuit Against Bank of America
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Updated:
Securities Fraud: Two Indiana Men Are Charged with Running Ponzi Scam, NY Investment Adviser Gets Five-Year Prison Sentence for $1.725M Scam, and Illinois Investment Firm Owner is Ordered to Pay $270K in Restitution
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Updated:
Braskem, Teva Pharmaceutical, and General Cable Corp. Settle FCPA Charges for $957, $519M, and $75M
:
Updated:
UBS Broker is Fired Over Outside Business Activities
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Updated:
SEC Files Microcap Fraud Cases Alleging Fake IPO-Related Penny Stock Sales
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Merrill Lynch, UBS, & Morgan Stanley Are Among Firms Ordered to Pay Investors Approximately $30M Collectively Over Puerto Rico Bond Fund Losses in 2016
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Updated:
Ex-NY Pension Fund Portfolio Manager and Broker are Criminally Charged in Alleged $2B Pay-to-Play Scam
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Updated:
Mortgage Fraud Settlements Reached With Deutsche Bank for $7.2B, Credit Suisse for $5.3B
:
Updated:
Texas Ponzi Scams: Oil Co. Owner Is Indicted by a Federal Grand Jury, CEO of Texas First Financial is Charged in Internet-Related Fraud, and Texas REIT United Development Funding Remains in Trouble
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Updated:
CFTC Orders Convergent Wealth Advisors Ordered to Pay $800K Securities Fraud Fine
:
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Whistleblower Cases: SEC Issues Almost $1MK Award to Another Tipster, JPMorgan is Defendant in IRS Whistleblower Case Involving Pension Funds, and Prudential Stops Selling Certain Term Life Insurance Policies Through Wells Fargo Following Employees’ Lawsuit
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Updated:
FINRA Fines 12 Firms, including RBS Securities, Wells Fargo, and LPL Financial $14.4M for Record Preservation-Related Violations
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Updated:
Morgan Stanley Settles Margin Account-Related Violations with FINRA & The SEC for $10.3M
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Updated:
SEC Files Charges Against Operators of Bogus Day Trading Firm that Bilked Inexperienced Investors Globally of Over $1.4M
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Securities Fraud: Former California Financial Adviser Who Worked For Texas Brokerage Firm is Barred After Bilking Professional Athletes of $2M, FINRA Fines Allstate Financial Services $1M for Inadequate Supervision, and Former Registered Investment Adviser Settles Cherry Picking Scam for $328K
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Platinum Funds and Founder Mark Nordlicht Accused of $1B Ponzi Scam that Allegedly Bilked Over 600 Hedge Fund Investors
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Goldman Sachs Pays $120M Penalty to Settle USD ISDAFIX Rigging Allegations
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Updated:
Mid Atlantic Capital Ordered to Pay Couple $922K Over KBS-Sponsored NonTraded REITs, Sonoma Ridge Partners Private Placement and Exchange-Traded Fund Investments
:
Updated:
Deutsche Bank Ends Dark Pool Probe with $37M Settlement to the NY AG and the SEC, as well as a $3.25M Fine to FINRA
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Updated:
FINRA Bars Ex-JP Turner Broker For Elder Financial Fraud
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Criminal Securities Fraud: Former Train Babcock Financial Adviser Pleads Guilty In $1.6M Family Trust Theft, Prosecutors Go After Former Cantor Fitzgerald Trader for RMBS Fraud, & Two NJ Traders Are Charged in $26M Stock Rigging Case
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Former LPL Financial Adviser/North Carolina Broker Is Sentenced in $1.4M Ponzi Scam
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$11B RMBS Fraud Lawsuit Against Credit Suisse to Proceed
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Prudential Stops Selling My Term Life Insurance Policies Through Wells Fargo
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Massachusetts Regulator Accuses Broker-Dealers of Not Properly Supervising Rogue Brokers
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SEC’s Whistleblower Office Awards Another $3.5M to Tipster
:
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FINRA Anti-Money Laundering Cases Render Huge $1M Fine for Wells Fargo and $16.5M Fine for Credit Suisse
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Massachusetts Regulator Sues LPL Financial Over Broker’s Alleged Variable Annuity Abuses Involving Retirees
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UBS Ordered To Pay More Than $18 million in Puerto Rico Closed-End Bond Fraud Arbitration Award
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US Supreme Court Issues Ruling that Impacts The Definition of Insider Trading
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FINRA Orders Merrill Lynch to Pay $7M, Including $780K in Restitution to Customers that Invested in Puerto Rico Securities
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SEC Charges Onix Capital and Its Owner With $5.7M Promissory Note Fraud
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PIMCO Agrees to Pay Almost $20M to Settle SEC Charges That It Misled Exchange-Traded Fund Investors
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SAC Capital Advisers Concludes Final Insider Trading Case By Agreeing to Pay $135M to Elan Corp. Investors
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UBS Ordered to Pay Older Couple $700K Over Puerto Rico Bond Sales While Institutional Investors Continue Lawsuits in Puerto Rico Over Investment Losses
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Houston-Based Valic Financial Advisers Settles Variable Annuities Case Involving Alleged Conflicts for $1.75M
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Securities News: Goldman Sachs to Settle Reno’s Auction Rate Securities for $750K, SEC Demands Remaining $5.4MFine Owed By Maine Developer, & a Federal Judge Rules in Jay Peak Resort EB-5 Case
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Securities Cases: Minnesota Adviser Goes to Prison Over Ponzi Scam, Ex-Morgan Stanley Broker Accused of soliciting $2.7 M from Elderly Investors After He is Barred from the Securities Industry, and 808 Renewable Energy Faces Fraud Charges
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Mortgage-Backed Securities News: Former Standard & Poor Executive On Trial in SEC Case Over Mortgage Bond Ratings & Royal Bank of Scotland and Nomura Try to Overturn $839M MBS Fraud Ruling
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Ally Financial Will Pay $52M To Settle RMBS Fraud Allegations Involving Subsidiary ResCap
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Securities Fraud Cases: VFG Securities Settles With FINRA Over Nontraded REIT Sales, Massachusetts Seeks To Ban Trader and His Software Company, and Utah Man Who Bilked Over 5,700 in $25M Fraud Gets Prison Sentence
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Tutor Perini’s $50M Auction-Rate Securities Lawsuit Against Bank of America is Revived
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Edward Jones is Sued Over 401(K) Excessive Fees—Again
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Edward Jones is Sued Over 401(K) Excessive Fees—Again
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FINRA Orders Oppenheimer to Pay $3.4M Penalty For Alleged Reporting Failures and Not Giving Discounts to Mutual Fund Clients
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JPMorgan Chase Agrees to Pay Over $264M to Resolve Foreign Corrupt Practices Act Charges
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Broker Fraud Cases: Former Newbridge Securities Broker Pleads Guilty in $131 Market Manipulation Scheme and FINRA Bars LPL Financial Broker for Depositing Client Funds Into His Own Account, and Lincoln Financial Securities is Fined $650K for Not Protecting Client Information
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Securities Fraud: CFP Board Suspends California Investment Adviser for Bilking Professional Athletes, SEC Orders Israeli-Based Firm to Pay $1.7M for Misleading Investors About Binary Options, and Ex-Movie Producer is Accused of Bilking Hedge Fund Investors
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SEC Awards Whistleblower $20M
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Texas-Based Broker-Dealer Accused of Harming Elderly Massachusetts Investors Via High-Pressure Sales Tactics
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Day Trader Pleads Guilty to Fraud in 2010 Flash Crash
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FINRA Complaint Accuses Dawn Bennett Of Not Testifying in Fraud Probe Involving Her Clothing Company
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401K Record Keeper is sued Over Financial Engine’s Alleged Pay-to-Play Scam
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Investors of $7.7B NovaStar Mortgage-Backed Securities Can Move Forward with Fraud Claims Against Wells Fargo, Deutsche Bank, and RBS Securities
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SEC Says Triad Advisors and Securities America Advisors May Have Charged Clients For Mutual Fund with 12b-1 Fees Even Though There Were Less Costlier Options
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FINRA Says Former MML Investors Services Broker Bilked Older Couple in Senior Fraud
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UBS Financial Services to Pay Investor Almost $1M in Puerto Rico Closed-End Bond Fraud Case
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Aozara Bank’s Mortgage-Backed Securities Case Against JPMorgan is Allowed to Proceed
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Goldman Sachs Settles Securities Fraud Lawsuit Over Abacus CDO
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Energy Company Cases: Arizona Corporation Commission Orders Texas Man to Pay $1.4M, Two Other Companies to Pay $11.2M in Restitution to More than 700 Investors, & SEC Files Stock Manipulation Charges Against Multiple Individuals
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SEC Probes Wells Fargo Over Allegations of Violations Involving Whistleblower Protections and Investor Disclosures
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Nomura To Pay Over $3M to Settle RMBS Fraud Claims brought by NCUA for Credit Unions
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Voya Financial Advisors, Cetera Advisors, and Six Other Broker-Dealers to Pay $12.5M in Fines and Restitution For Allegedly Not Properly Supervising The Sale of L-Share Variable Annuities
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Massachusetts Regulator Charges Ex-Investment Adviser Over $500K Ponzi Scam
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CFTC Cases: IB Capital Fx Ordered to Pay Over $35M in Restitution For Soliciting Investors While Improperly Registered, $21.8M Default Judgment Obtained in Commodity Pool Fraud, and Spoofing Case Leads to Over $38M in Monetary Sanctions
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American Capital REIT is Accused of Charging Hundreds of Millions of Dollars in Excessive Fees
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Estate of Bernie Madoff’s Friend to Pay Trustee Irving Picard Over $262M
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Hedge Funds with Puerto Rico Revenue Bonds Want Court to Delay General Obligation Bondholders’ Lawsuit
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SEC Adopts Final Rules to Modernize Fund Raising for Intrastate and Regional Offerings, Enhance Information that is Reported by Funds, and Enhance the Effectiveness of Risk Management Programs
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SEC Cases: Embraer Settles FCPA Charges for $205M, Bank Leumi is Charged with Engaging Unregistered US Cross-Border Business, and Lime Energy Company and Executives Settle Accounting Fraud Charges
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FINRA Bans Dallas Broker For Recommending Ponzi Scheme to Investors
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Ex-Oppenheimer Broker Pleads Guilty in Insider Trading Case
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Deutsche Bank Settles Silver Rigging Allegations for $38M
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DOJ to Sue Moody’s Over Mortgage-Backed Securities
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Securities Cases: Merrill Lynch Ordered to Pay $2.8M for Supervisory And Other Violations, Ernst & Young Agrees to Pay $11.8M for Failed Audits, and Ex-Morgan Stanley Client Administrator is Suspended Over Fraudulent Wire Transfer
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FINRA Warns Investors to Be Careful When Considering Public Non-Traded Real Estate Investment Trusts
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Texas REIT Gets SEC Wells Notice as Nasdaq Delists Its Shares
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Wells Fargo, Deutsche Bank, and Neuberger Berman Grapple with 401K lawsuits
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Artis Capital Management Accused of Not Preventing $6M Insider Trading
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FINRA Actions: Former UBS Broker Is Barred for Overvaluing Customer’s Account by Up to $3M, Ex-Broker Allegedly Stole $400K From Parents, Wells Fargo Adviser is Suspended After Client is Victimized in Phishing Scam, and Former Stifel Broker is Accused of Unauthorized Payments
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SEC Cases: Och-Ziff Hedge Fund Settles FCPA Violation Charges for $413M, Employee is Accused of Insider Trading Prior to Drug Announcement, and Company Pays Fine After Firing Whistleblower
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Forcerank Will Pay $50K Fine for Illegally Offering Security-Based Swap Offering to Retail Investors
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Deutsche Bank Reaches $9.5B Settlement With the SEC For Not Properly Safeguarding Information
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Hedge Funds Holding Puerto Rico General Obligation Bonds File Lawsuit
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San Francisco Hedge Fund Files Securities Fraud Lawsuit Against Blood Testing Company Theranos
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RBS Securities Settles MBS Fraud Case With Connecticut for $120M
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Texas Securities Cases: IMS Securities to Pay $100K Over Variable Annuity Exchanges, State Regulator Bans Broker from Making Nontraded REIT Recommendations, and Former Dallas Billionaire Sam Wyly to Pay $198M To Settle Fraud Case
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SEC News: Regulator Proposes Amendment For Settling Securities Transactions, Adopts Rules to Improve Regulatory Framework for Clearing Agencies, Gives Authorities Access to Information from Security-Based Swap Data Repositories, and Enhances Investment Adviser Requirements for Providing Information
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Investors Capital To Pay $1.1M Over UIT Sales
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Securities Cases: Hawaii-Based Investment Adviser is Accused of Cherry-Picking Trades, Broker Ordered to Pay $600K for Elder Financial Fraud, and FINRA Bars Ex-Axa Advisors Broker
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U.S. Supreme Court Hears Insider Trading Case
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Credit Suisse Settles for $90M Allegations that It Misrepresented Performance Metric
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Oil Company Wants SEC’s Texas Fraud Case to Go to Trial
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Morgan Stanley Charged by Massachusetts for Running Allegedly Unethical Sales Contests
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UBS Financial Services to Pay Over $15M to Settle Charges Related to the Sale of Reverse Convertible Notes to Retail Investors
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Former ARCP CFO Pleads Not Guilty to Criminal Securities Fraud Charges
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SEC Accuses Peruvian Traders of Insider Trading, Charges Anheuser Busch InBev with Whistleblower Protection and FCPA Rule Violations, and Orders an Oil Services Company to Pay $140M Over Accounting Fraud Allegations
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SEC Accuses Pennsylvania Broker of $3.2M Securities Fraud Involving 120 Investors
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RBS Will Pay NCUA $1.1B in Mortgage-Backed Securities Probe
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The Puerto Rico Retirement System Sues UBS Over Municipal Bonds While 31 Investment Funds and Scotiabank Sue the Territory in Separate Lawsuits
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SEC Files Charges in Alleged Microcap Fraud
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Merrill Lynch Ordered to Pay $12.5M to the SEC and $3M to Six Exchanges Over Mini-Flash Crashes
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Ex-Investment Adviser and Talk Show Host Once Again Takes Industry Ban Against Him to the Appeals Court
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FINRA Expels DT Securities and Its CEO Over Alleged Private Placement Misrepresentations
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SEC Charges Ex-Microcap CEO and Boiler Room Operator in $20M Penny Stock Fraud to Bilk Senior Investors
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Aozora Bank Asks NY Appeals Court to Revive $1.5B CDO Fraud Case Against Credit Suisse
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FINRA Sanctions Avenir Financial Group For Fraud
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US Appeals Court Revives JPMorgan Whistleblower’s Lawsuit
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Hedge Fund Manager Faces SEC Charges For Insider Trading
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Broker Who Stood To Inherit 91-Year-Old Customer’s Condo is Barred by FINRA
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SEC Cases: Blank Check Maker is Accused of Fraud, Alleged Scam Involving Company That Makes Containers to Grow Marijuana Faces Civil Charges, & Retail CEO and Promoter Accused of Fraudulent Marketing Campaigns
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SEC Awards Whistleblower $4M
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Deutsche Bank and DOJ Still In Negotiations Over Mortgage-Backed Securities Case
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Man Who Ran Pump-And-Dump Scam Linked to Notre Dame’s “Rudy” Gets Prison Term
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Voya Sued in 401(K) Lawsuit, is Accused of Partaking of Investment Advice Fee Charge
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Ameriprise Ordered to Pay $85OK After One of Its Brokers Bilked His Family
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UBS Ordered To Pay Three Investors $750K in Puerto Rico Bond Fraud Case
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Securities Fraud News: Another Hedge Fund Shutters, Telecom Company to Pay $1.25M for Disclosure Failures, and SEC Orders Stock Trader to Pay $1.5M Over Fraud Charges
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Securities Regulator News: NASAA Offers Guide to Protecting Senior Investors and other Vulnerable Adults, States Disclose 2015 Enforcement Statistics, and SEC to Scrutinize Firms With Rogue Brokers
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Securities Violations: Raymond James and Robert W. Baird to Pay Fines For Alleged Wrap Fee Compliance Failures, RBC Agrees to Pay $2.5M Over Proxy Statement Disclosures, and Ex- ARCP Accounting Executives Are Accused of Overstating REIT’s Performance
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Ex-Financial Adviser of Former NBA Star Tim Duncan is Arrested in Texas
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BOK Financial to Pay More Than $1.6M Over Allegations Related to Municipal Bond Scam
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Ex-MF Global Chief Jon Corzine and CFTC Arrive At Tentative Settlement
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US Considers Filing Criminal Charge Against HSBC Holdings PLC Unit that May Void Deferred Prosecution Deal
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SEC Bans Andrew Caspersen After $38M Financial Fraud
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President Obama Appoints Federal Control Board Members to Deal With Puerto Rico’s Debt Crisis
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Ex-Madoff Aide Will Help Picard Find Funds Stolen in Ponzi Scheme
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Logos Wealth Financial Advisers is Accused of Fraudulently Raising Over $14M from Investors
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Securities Fraud Headlines: Caldwell International to Pay $2M Over Churning Allegations, Alabama Lawyer Allegedly Bilked Professional Athletes, and a Green Tech Company Faces Investor Fraud Charges
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California Lawyer Goes to Prison for Securities Fraud
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Securities News: Ex-Fannie Mae CEO Settles Mortgage Fraud Case, WL Ross to Pay Back $11.8M to its Funds, SEC Chastises Bank of America For Not Explaining COO’s $15.5M Compensation, and Pension Returns Drop
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Elderly Investors Lose Money After Broker Recommends Energy and Gold Stocks
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13 Investment Advisers Pay Penalties Over F-Squared Investment’s False Performance Claims
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MedCapital, Related Companies, and Executives Ordered to Pay $831M of Disgorgement Over Ponzi Scam
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Apollo Global Management Settles Supervisory and Disclosure Failure Charges for $52.7M
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Morgan Stanley and Edward Jones Are Sued in Separate 401(K) Lawsuits
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Two Investors File Securities Arbitration Claim Against Santander Securities Over Puerto Rico Municipal Bonds
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CFTC and FINRA File Charges Against Deutsche Bank Over Swap Data and Information Transmitted Over Squawk Boxes
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Tax Whistleblowers Are Entitled to Award When There Are Civil Forfeitures and Criminal Fines, Rules Court
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Mortgage Company President Charged With Defrauding Ginnie Mae
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Ex-Perella Weinberg Partners Managing Director is Convicted of Insider Trading, Giving Tips to His Dad
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Securities Fraud News: Hedge Fund Manager Accused of Securities Fraud Involving Payoffs to the Terminally Ill, SEC Halts Trading in Neruomama Shares, and Commodity Pool Fraud Leads to More than $10M in Penalties and Restitution
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Ex-Goldman Sachs Trader to Pay $400K Fine to Settle RMBS Fraud Case
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UBS to Pay $250K For Not Waiving Mutual Fund Fees
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401(K) Lawsuits Brought Against Franklin Templeton and Neuberger Berman
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Texas Securities Fraud: State Fines The Investment Center and A Local Man Is Accused of Bilking Investors
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San Francisco Investment Manager is Sued Over $2M Hedge Fund Fraud
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SEC Charges Ex-Philadelphia Eagles Football Player With $10M Fraud
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US Attorney Bharara Asks Second Circuit To Reconsider Overthrown Mortgage Fraud Verdict Against Countrywide
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Primus Pacific Partners Sues Goldman Sachs for $510M
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Securities Headlines: FINRA Wants Ex- Merrill Lynch Adviser to Pay Monetary Sanctions Over Misleading Recommendations, Four Life Insurers Must Pay $3.4M Related to Death Benefits, and JPMorgan Settles with Indiana Over Proprietary Products for $95OK
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Fed Orders Goldman Sachs to Pay $36M Fine Over Confidential Documents Leak
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Securities Fraud: Unregistered Representatives Bilk Investors of Over $5M & Go Shopping, Broker to Go to Prison Over $131M Market Manipulation Scam, and an Illinois Man is Convicted in $20M Scheme
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Financial Firm News: Deutsche Bank Ordered to Face Part of Subprime Mortgage Fraud Lawsuit & Morgan Stanley & Bank of America Must Contend with MBS Case
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FINRA Files Securities Fraud Charges Against NY Broker For Churning Accounts of Blind, 77-Year-Old Widow
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CFTC Orders Atlantas Group and Its owner to Pay $7.2M in Restitution and Civil Penalties to Settle Solicitation Fraud and False Statement Charges
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Securities News: Citigroup to Pay $7M Over Incomplete Blue Sheet Data, Cetera Fined $75K for Client Record Issue, and Raymond James Settles EB-5 Program Violations for $1.45M
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Puerto Rico Likely To Default on Bond Payments Due on August 1
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State Street to Pay $382M for Misleading Clients, Including Mutual Funds, Over Hidden Markups In Foreign Currency Exchange Trades
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SEC Stops $5M Fraud, Ex-Investment Adviser Faces Criminal Charges, Another Pleads Guilty, and a Broker is Barred for Bilking Elderly Customer Through Variable Annuities
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“Weekly” Investments Are Popular With Big Traders But Come With Drawbacks
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Hedge Funds Sue Puerto Rico and Its Governor
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SEC Charges Already-Barred Hedge Fund Manager With Fraud
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Employees of American Century and New York Life Sue over Excessive Fees with 401(K) Lawsuits
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Following Securities Fraud Allegations, Visium Asset Management and Alliance Bernstein Reach Preliminary Sales Deal
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Dallas Cowboy Wide Receiver Sues His Former Texas Investment Adviser for Securities Fraud
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HSBC Executives Are Charged with FX Rigging
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Ameriprise Financial Advises Clients to Sell OppenheimerFunds Muni Bond Funds with Puerto Rico Debt
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SEC Advisory Committee Recommends Broadening Accredited Investor Pool
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Prudential Annuities Fined $950K for Not Stopping Broker From Stealing $1.3M from Elderly Customer’s Variable Annuity Account
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Securities Fraud News: Union Pension Funds Settle Class Action Case for $64M, Deadline for Implementing Volcker Rule is Extended, and Ex-Panther Energy Trader Goes to Prison For Spoofing
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AOG Wealth Management President Ordered to Pay Couple $331K for Private Placement Investments
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Hedge Funds Continue to See Losses
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SEC Fines RiverFront Investment Group For Charging Clients Extra Fees
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SEC News: Regulator Approves In-House Enforcement Reforms, Adopts Guidance For Security-Based Swap Transaction Reporting, and Will Audit Financial Advisers Over Mutual Fund Shares
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Bill to End Securities Law Exemptions in Puerto Rico Passes the U.S. House
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Updated:
Ex-Prudential Financial and MetLife Broker is Barred over Deceptive MetLife Variable Anuuity Sales
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SEC Bars Broker From Industry, Orders Her to Pay $4M for Inflating Firm’s Investment Performance to Bring In Rich Investor Clients
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Four Former Barclays Traders Get Prison Terms for Libor Rigging
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Elder Financial Fraud News: Indiana, Vermont, and Alabama Add New Laws to Protect Older Investors, US House Votes Approval of Senior Safe Act, & Garden State Securities to Pay Damages to Older Clients
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Insider Trading News: Hedge Fund Managers Charged in $32M Scam, Ex-Software Executive and Friends Are Accused of Making Over $500K, and Broker and Friend Allegedly Illegally Traded in Pharmaceutical Stocks
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Goldman Sachs Settles CDO Fraud Lawsuit Brought by Basis Yield Alpha Fund
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Rhode Island Investment Adviser to Plead Guilty in $21M Ponzi Scam
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Securities Fraud News: Andrew Caspersen Pleads Guilty to $40M Fraud, Massachusetts Investment Advisor to Pay $8M to Investors, & CFTC Orders Florida Man and His Companies to Pay Almost $175M in Sanctions in FX Ponzi Scam
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SEC Fines Texas-Based Investment Advisory Firm for Overcharging REIT Clients
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Puerto Rico Defaults on $911M Bond Payment
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Updated:
Raymond James Sued Over $350M Development Fraud, Settles with Vermont for $5.95M
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Updated:
Financial Representative News: Ex-LPL Financial Broker Gets Suspension and Fine & Former Ex-GL Capital Partners CEO is Sentenced to Prison
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Securities Headlines: SEC Announces $17M Whistleblower Lawsuit, Delta Employees File 401(K) Lawsuit Against Fidelity, Blackstone President Says Hedge Funds Could See 25% Asset Loss, and Deutsche Bank is Fined $6M By FINRA
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FINRA Accuses Broker of Encouraging Clients to Invest in High-Risk Exchange-Traded Funds Because He Anticipated Financial Turmoil
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401K Lawsuits: MassMutual Settles with Employees for $31M and TransAmerica Settles for $3.8M
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Bondholders Sue Puerto Rico As Debt Talks Falter
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Financial Firm Settlements: HSBC Holdings Settles Yen Libor and Euroyen Tibor Rigging Claims for $30M & BNY Mellon to Pay Investors $35M for FX violations
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SEC Files Charges in $80M Texas Oil and Gas Scam
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Updated:
Massachusetts Fines Seven Broker-Dealers Over Proxy Voting Fraud Involving Realty Capital Securities
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Updated:
Merrill Lynch to Pay $425M to the SEC and $5M to FINRA for Misusing Customer Funds and Misleading Investors About Structured Notes
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Securities Cases: Medical Capital Executive To Pay Almost $40M for Private Placement Fraud, Momentum Investment Partners Accused of Not Disclosing Fees, and First Mortgage Corp. Settles Mortgage Fraud Claims
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Denver Broncos Quarterback Mark Sanchez and MLB Pitchers Roy Oswalt and Jake Peavy Defrauded in $30M Scam
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Municipal Bond Fraud: Two Firms Are Accused of Deceptive Practices When Working with California School Districts & Ex-CEO of Charter School Operator Settles Charges
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HSBC Holdings to Pay $1.575B In Mortgage Lending Lawsuit
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Securities Headlines: FINRA Enforcement Officials Say They Are Keeping Their Eyes on Variable Annuities, Massachusetts Goes Looking for Rogue Brokers, and Man is Accused of Scamming Women He Met Online
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Updated:
US Supreme Court Strikes Down Law That Would Have Let Puerto Rico Public Utilities Restructure Their Debt
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Securities Crimes: Ex-Pharmaceutical Executive Martin Shkreli Pleads Not Guilty to New Criminal Charge & Andrew Caspersen’s Lawyer Says Former Wall Street Trader is a Gambling Addict
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Libyan Fund Accuses Goldman Sachs of Financial Exploitation
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Updated:
Ex-NBA and NFL Players Win $819K Arbitration Award in FINRA Arbitration Case Against Morgan Stanley Smith Barney
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SEC Bond Cases: Illinois Mayer Settles Municipal Bond Fraud Charges for $10K, Ethiopia’s Electric Utility Pays Over $6M to Resolve Bond Offering Violations, and Miami , Fla. Likely to Come Under Scrutiny in Civil Trial
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Updated:
U.S. House Passes Puerto Rico Debt Rescue Bill
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Oppenheimer to Pay $2.9M for Unsuitable Non-Traditional Exchange-Traded Fund Sales
:
Updated:
Tennessee Investment Advisory Firm Accused of Trying to Collect Extra Fees from Hedge Funds
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Updated:
Morgan Stanley and E*Trade Securities Face Penalties for Inadequate Customer Information Protection
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SEC Reaches $12.7M RMBS Fraud Settlement in Case Involving Ginnie Mae
:
Updated:
T. Rowe Price to Pay Fund Shareholders, Clients About $194M Over Dell Buyout Voting Mistake
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Citibank Settles Libor, Euroyen Tibor, and YenLibor Rigging Allegations With $425M Fine
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Updated:
SEC & Fraud Cases: Ponzi Scam Targeting Middle Class Investors is Stopped, NY-Based Forex Trader is Accused of Bilking Ex-Classmates, Family, and Friends, and NC Investment Adviser is Sued Over $11.5M Real Estate-Related Scheme
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Updated:
Madoff Investors Eligible For $4B Payout & Stanford Fraud Victims Settle With Law Firm for $35M
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Securities Cases: Stephens Inc. to Pay $900K Fine, FINRA Bans Ex-Wells Fargo Broker, And Former State Street Executive is Accused of Charging Hidden Fees
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Female Executive Accuses Bank of America of Misleading Trading Clients, Including Citigroup and Blackstone
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Proposed Rule Would Let Consumers Sue Banks
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Updated:
Ex-Dean Foods Board Member, Pro Golfer Phil Mickelson, and Professional Sports Gambler Are Named in Insider Trading Case
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Updated:
Texas Appeals Courts Upholds $2.1M Mortgage-Backed Securities Ruling Against Morgan Keegan
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Updated:
SEC Issues More Whistleblower Awards
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Updated:
Raymond James to Pay $17M Fine for Anti-Money Laundering Compliance Failures
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Updated:
FINRA Approves Wider Public Arbitrator List, Proposes Rule Change, and is Accused by Lawmakers of Not Doing Enough to Protect Investors From Bad Advisers
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FINRA Bars Broker From Industry For Allegedly Bilking Older Woman He Met at Church
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Updated:
Investors Can Sue Bank of America’s Merrill Lynch For Illegal Short Selling in State Court, Rules U.S. Supreme Court
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Emotions Make Older Investors More Vulnerable to Fraud, Says FINRA/Stanford/AARP Study
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Former UBS Trader is Helping Prosecutors Pursue Forex Rigging Cases Against Individuals
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Updated:
U.S. Government to Help Restructure Puerto Rico’s $70B Debt
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M & T Bank Settle Fraud Case for $64M
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Updated:
Securities Fraud Cases: Ex-Head of MICG Investment Management Firm Faces 13 New Charges, SEC Accuses Unregistered Brokers of Bilking Investors in $6M Scam, and $250M Pump-And-Dump Case Leads to Guilty Plea
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Updated:
Wells Fargo to Pay UBS $1M Over Broker Departure
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Texas Fraud Cases: Houston Municipal Employees Pension System Sues BOFl, Dallas Police and Fire Pension System Accuses Financial Adviser of Fraud, and SEC Accuses Two Attorneys of $13M Escrow Scheme
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HSBC Settles Yen Libor Rigging Lawsuits With Investors
:
Updated:
Oppenheimer Shuts Down Its Commodity Strategy Total Return Fund
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Securities News: $5.95B RMBS Lawsuit Against Moody’s is Reinstated, Barclays Traders Remain on Trial, And Former Bank CEO Enters Guilty Plea to Fraud Charges
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SEC Files Fraud Charges in Native American Tribal Bonds Scam
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JPMorgan to Pay $150M to Pension Funds Over London Whale-Related Losses
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Updated:
SandRidge Energy Stock Losses Has Cost Investors Over $7B
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Updated:
SEC Says Pennsylvania Financial Adviser Bilked Professional Athletes
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Texas Securities News: Round Rock Man Goes to Jail Over $4.5M Ponzi Scam, Linn Energy Files for Bankruptcy, Judge Says Wyly Brothers Committed Tax Fraud
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Updated:
Ex-Deutsche Bank Broker Found Guilty for Insider Trading Related to Operation Tabernula Probe
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Updated:
NY City Council Speaker Wants SEC to Investigate Oppenheimer Funds Over Puerto Rico Debt Crisis
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Four Credit Suisse Bankers Accused of Unauthorized Trading in Rich Clients’ Accounts, Bank of America Settles Mortgage Case for $190M, and Goldman Sachs to Pay Illinois Pension Fund $272M
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Hedge Funds Continue to See Investor Exodus
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Deutsche Bank Settles Silver Price Rigging Case
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MetLife Securities Ordered to Pay $25M FINRA Sanction Related to Variable Annuities
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Updated:
Bank of America, Citigroup, JPMorgan Chase, Credit Suisse, Deutsche Bank, and Other Banks Settle ISDAFix Rigging Case for $324 Million
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Nine Brokers Charged in $131M Stock Scam
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Turing Pharmaceuticals Founder May Face More Securities Fraud Charges
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Puerto Rico Misses Most of Its $422M Debt Payment
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Institutional Fraud Cases: Shareholders Sue PJT Partners Over Andrew Caspersen’s $95M Fraud, Sabal Limited Sues Deutsche Bank, and Dallas Pension Fund Sues Firm
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Oppenheimer Still Has Substantial Funds in Puerto Rico Municipal Bond Debt
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Updated:
NOVA Bank Executives Convicted Over Scam to Defraud Government of Over $13M
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Ponzi Fraud: Victims of Tom Petters to get $172M, Court Affirms Former Madoff Employees’ Convictions, and Grand Jury Indicts Real Estate Investor Petters Ponzi Scam Victims to Get Back $172M
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LPL Subject to Lawsuits In the Wake of Stock Drop
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Broker News: J.P. Morgan Firms to Pay $1M Fine, FINRA Bans Broker For Money Laundering, and Former Maine Broker Gets 3-Years in Prison for Fraud
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Hedge Fund Investors Want to Withdraw $1.4 Billion from Brevan Howard Master Fund
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Judge Dismisses Scottsdale Capital Advisor’s Lawsuit Challenging FINRA’s Enforcement Authority
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Sen. Elizabeth Warren Calls Out the SEC for Not Stopping Hedge Fund Billionaire Steven Cohen From Starting New Hedge Fund
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Texas-Based Linn Energy Extends Deadline for Exchanging LINE Units for LNCO Shares
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Wine Mogul Accuses Fidelity of Fraud, Seeks up to $500M in FINRA Arbitration
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Indiana Investment Adviser Sentenced for Bilking Older and Disabled Clients of Over $680K
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SEC Files Financial Fraud Cases Against Logitech and Ener1
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Updated:
Former UBS Puerto Rico Employees Brought $25M Lawsuit Against the Firm
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Bancorp-UBS Trial over $2.1B of Mortgage-Backed Securities Begins
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Commodity Trading Cases: Galileo Trading Fined Over $1.6M, Trader Ordered to Pay More than $141K for Aiding and Abetting Fraud, and Criminal Defendant Must Pay Over $4.7M in Restitution
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SEC Cases: Litigation Marketing Company Accused of Defrauding Retirees, NY Town Officials Hide Money Problems from Municipal Bond Investors, and Ski Resort is Tied to Fraudulent E-B Five Offerings
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Judge Refuses to Totally Dismiss $1B Mortgage Fraud Case Against Credit Suisse Unit
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Broker Violations & FINRA: PNC Investments to Pay $225K for Overcharging for Mutual Funds and Stifel Nicolaus is Fined $750K For Not Following Reserve Requirements
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Houston Pension Fund Files Securities Fraud Case Against BofI Holding
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Updated:
Elm Tree Investment Advisors Founder, COO Charged in $17M Ponzi Scam
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Broker Michael Donnelly Gets Prison Time for Elder Financial Fraud
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The FCA Bars Ex-Royal Bank of Scotland Trader Over Libor Rigging
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Morgan Stanley Still Embroiled in $147M RMBS Lawsuit Brought by IKB Deutsche Industriebank
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Goldman Sachs Will Pay $5.06B Over Mortgage-Backed Securities Practices
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Updated:
Hedge Funds Sue Puerto Rico’s Government Development Bank Over Assets
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Updated:
Credit Suisse Wants Appeals Court to Dismiss NY AG’s $11.2B Residential Mortgage-Backed Securities Fraud Lawsuit
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$12M Ponzi Scam May Be Connected to Possible NYPD Corruption, Reports Newsweek
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California Venture Capitalist to Disgorge $4.875M to Settle Institutional Investor Fraud Charges
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Securities Fraud: Ex-SWS Financial Services Broker Faces Improper Trading Charges, Ex-Fox Commentator Settles Penny Stock Scam Case, and Former Investment Adviser Gets 7-Years in Prison
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Two Ex-State Street Executives Face Criminal Charges Involving Institutional Investor Fraud
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Four Face SEC Charges in Florida Elder Abuse Scam Involving Free Dinners
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California Sues Morgan Stanley for Purportedly Selling Bad Investments
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Brothers Accused of $2.7M Ponzi Scam Involving Elderly Investors
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Insider Trading: Ex-Goldman Employee to Pay $900K Fine, Former Harman VP Enters Guilty Plea, and Ex-AMO CEO Asks Judge To Stay Lawsuit
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ISDAFix-Rigging Lawsuits Against Bank of America, Citigroup, Deutsche Bank, and Others May Proceed, Says Judge
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Unregistered Investment Adviser Accused of $53M Ponzi Scam Involving Pre-IPO Companies
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SEC Charges New York Man With $95M Institutional Investor Fraud
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UBS Ordered to Pay Investors Over $47K in Puerto Rico Bond Fraud Case
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Mortgage Securities News: Supreme Court Rejects Banks’ FDIC Case, Credit Suisse to Pay NCUA $29M in MBS Case Involving Credit Unions, & Former Fannie Mae CEO Must Contend With SEC Fraud Claims
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Former Financial Adviser to Chicago Bull’s Scottie Pippen Goes to Prison for Fraud
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Updated:
NY Broker –Dealer Owner Charged in $17.2M Ponzi Scam
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Michigan Pension Plan Sues LPL Financial for $115M
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Elder Investors: Morgan Stanley Must Pay Home Shopping Network’s Estate Over $34M, Broker Accused of Making Over $1.7M From Churning at Craig Scott Capital, and $10M Ponzi Scam Involving Jamaican Businesses Targets Older Investors
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Texas Adviser Barred by State Over Fraudulent Life Settlement Sales
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Financial Firms and Securities Cases: BNY Mellon to Pay $3M Over Computer Glitch that Affected Mutual Funds, Wedbush Fined $675K by FINRA and Nasdaq, and Triad Advisers Settles UIT Charges
:
Updated:
$2.5B in Investor Money from Madoff Ponzi Scam Went Unclaimed
:
Updated:
SEC News: Municipal Adviser Allegedly Did Not Disclose Conflict, Microcap Company CEO is Accused of Making False Claims, and Whistleblowers are Awarded $3M
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GL Capital Partners Ex-CEO Pleads Guilty to $15M Fraud
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Two-Ex Rabobank Bankers Get Prison Sentences Over Libor Involvement
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Stockbroker Fraud: Ex-JPMorgan Broker Who Gambled Gets Five Years, FINRA Bars Broker Over Elder Financial Fraud, Risky Alternative Investment Sales and Ex-Broker is Indicted by Jury for Allegedly Bilking Clients of $2.8M
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SEC Cases: Ex-AIG Broker-Dealers to Pay $9.5M For Purportedly Directing Investors Toward Pricier Mutual Funds, California Water District Resolves Bond Offering Charges for $125M, & Businessman is Accused of Stealing Investor Money
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Genworth Financial Settles Class Action Securities Lawsuit for $219M
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Updated:
Florida Man Accused of Insider Trading to Return Illegal Profits
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SEC Files Fraud Charges Against Aequitas Management Over Ponzi Scam
:
Updated:
Banc de Binary to Settle Fraud Charges With SEC, CFTC for $11M
:
Updated:
North Carolina Retiree Couple Files FINRA Arbitration Case Against Morgan Stanley Over Energy Investment
:
Updated:
SEC Charges Wells Fargo Securities, Rhode Island Agency with Bilking Investors Over Municipal Bond Offering
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Updated:
Royal Bank of Scotland Ordered to Pay Fired Executive for $2.05M
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Updated:
Ex-MetLife, Prudential Broker Accused of Deceptive Conduct Involving Variable Annuity Sales
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Updated:
SEC Bars Former Investment Adviser Over Alleged Misuse of Exchange-Traded Funds
:
Updated:
Bank of New York Mellon Must Face $1.12B RMBS Lawsuit
:
Updated:
FiNRA Bars Chicago-Based Broker For Market Manipulation
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Updated:
Study Accuses Nearly 20% of Oppenheimer Advisers, 15% of Wells Fargo and UBS Advisers, Others of Misconduct
:
Updated:
Seminole Tribe Accuses Wells Fargo of Fraud
:
Updated:
Foreign Corrupt Practices Act Violation Allegations: VimpelCom, Qualcomm, and PTC Inc. Settle with Regulators
:
Updated:
Fidelity Suspends MetLife Annuity Sales and Commonwealth Stops Selling L Share Variable Annuities
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Updated:
Securities News: UBS To Pay $33M to NCUA For Mortgage-Backed Securities, CFTC, FCA May File More Civil Charges Against Banks for Libor Rigging, Moody’s Waits for end of DOJ’s Subprime Mortgage Probe
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Updated:
Independent Brokerage Firms that Sold UDF REITs May Be Subject to Arbitration Claims Over Alleged Ponzi Scam
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Raymond James Must Pay Investor $795K
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Updated:
London Whale Says He is Not Responsible for Over $6.2B in Losses Involving JPMorgan
:
Updated:
JPMorgan Says to Expect Losses on Energy Loans
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Updated:
UBS Group Must Pay Investor $1.45M For Puerto Rico Bonds
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FINRA Says Investors Should Consider the Risks Before Investing in SBLOCs
:
Updated:
The FBI Raids UDF IV Offices in Dallas, Texas
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Updated:
Ex-Deutsche Bank Analyst to Pay $100K Penalty To Resolve SEC Charges Related to Rate Stock Certification
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Updated:
Securities Fraud: SEC Charges Unregistered California Man with Fraud, FINRA Bars Two Brokers, Second Scam Lands Man in Jail Again
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Updated:
FINRA Accuses Brokerage Firm of Lack of Supervision in Nontraded REIT Sales
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Updated:
FINRA Warns Investors About High-Yield CDs
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Updated:
Hedge Fund Manger Files Whistleblower Lawsuit Blames Carlyle Group For Almost $2B of Investor Money
:
Updated:
Securities Fraud: Ex-Broker Jerry McCutchen Under Investigation for REIT Sales, Hedge Fund Manager Must Pay $18M to SEC, and NASAA Steps Up Fight Against Elder Financial Fraud
:
Updated:
Aequitas Lays Off More Employees in the Wake of Faulty Subprime Bets
:
Updated:
Bondholder Group with $17.3B in Puerto Rico Debt Proposes Debt Restructuring Plan
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Judge Refuses to Overturn Conviction of UK Traders for Rigging Libor
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Updated:
Chesapeake Energy Corp. Stops Investor Payouts After Its Shares Plummets
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Updated:
UK Regulator Fines Ex-JPMorgan Executive $1.1 Over London Whale Debacle
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Updated:
Texas Hedge Fund Manager Accuses United Development Funding IV of Ponzi Scam
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FINRA Cases: Firms To Pay $1.2M Over UIT Sales, Broker Charged for Lying to a Native American Tribe, and Morgan Stanley Ordered to Pay Clients $825K
:
Updated:
SEC News: Brokerage Firm Fined $1M to Resolve Anti-Money Laundering Violations, Ocwen Financial to Pay $2M Over Misstated Financial Results, and Software Company is Accused of FCPA Violations
:
Updated:
SEC Files Fraud Charges Against American Growth Funding II
:
Updated:
Municipal Bond Violations: J.P. Turner to pay $140K to FINRA, SEC Fines Underwriters $4.58M Over False Statements
:
Updated:
Plummet in Oil Prices is a Worry to Investors
:
Updated:
RMBS Cases and Institutional Fraud: Morgan Stanley to Pay $62.9M, Hedge Funds File Lawsuit Against TWC Asset Management, and Deutsche Bank Must Contend With Allegations Claiming Investor Losses of $3.1B
:
Updated:
Citigroup to Pay $23M to Resolve Yen Libor and Euroyen Tibor Rigging Claims
:
Updated:
Texas Securities Commissioner Orders Firm To Stop Selling Pension Streams
:
Updated:
Diversified Stock Funds Drop in Value
:
Updated:
Senator Warren Accuses the SEC of Poor Enforcement
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Updated:
Morgan Stanley Pays Widow Over $95K for Puerto Rico Securities Losses
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Updated:
Credit Suisse and Barclays Settle Dark Pool Cases for $150M
:
Updated:
Hedge Fund Manager to Repay Investors $2.87M for Losses
:
Updated:
Ameriprise Financial Must Pay Woman’s Estate Over $2M For Broker Fraud
:
Updated:
JPMorgan Chase to Resolve Mortgage Fraud Case by Ambac for $995M
:
Updated:
Citigroup, Morgan Stanley, Goldman Sachs, and Other Big Banks to pay $63M to Virginia to Settle RMBS Fraud Claims
:
Updated:
UBS Shutters MLPL and MLPV Funds Following Millions of Dollars in Investor Losses
:
Updated:
SEC Wants Lawyer to Pay $2.5M Penalty in Texas Securities Case
:
Updated:
Investors Files Texas Securities Case Alleging Violations by United Development Funding IV
:
Updated:
Banks Work To Settle Libor Rigging Probe With Switzerland
:
Updated:
FGIC Sues Puerto Rico Over Bond Payment Default
:
Updated:
Securities News: Alternative Fund Manager Accused of Misleading Investors, Futures Trader Goes to Jail for Fraud, Ex-NBA Player Gets Sentence for Ponzi Scam, and 9th Circuit Upholds Investment Manager’s Conviction
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Updated:
Securities Fraud Headlines: Ne-Yo Sues Citibank, SEC Awards Whistleblower $700K, U.S. Supreme Court Takes on Insider Trading, and Morgan Stanley Must Deal with $500M CDO Case
:
Updated:
SEC Sues Ex-Superior Bank Executives and Board Members
:
Updated:
State Street To Pay $12M To Resolve Pay-to-Play Scam Charges Involving Ohio Pension Funds
:
Updated:
Securities Headlines: Ohio Financial Adviser Faces Criminal Charges, Petters Ponzi Scam Investors Still Waiting for Their Money, and FINRA Recommends Disciplinary Action Against Ex-Jefferies Bond Trader
:
Updated:
Goldman Sachs to Pay $5.1B in Mortgage-Backed Securities Investigation, $15M Over Purported Improper Securities Lending Practices
:
Updated:
FINRA Files Securities Case Against Texas Firm Over Churning Allegations
:
Updated:
Closing Arguments in UK Libor Trial Against Ex-RP Martin, Tullet Prebon, and Icap Brokers
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Updated:
SEC Probes High-Yield Funds in the Wake of Third Avenue’s Junk Bond Fund Collapse, Says Reuters
:
Updated:
Ambac Assurance and Assured Guaranty Sue Puerto Rico For Defaulting on Bond Payment
:
Updated:
Massachusetts Charges Citizens Securities in Elder Fraud Case
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Updated:
SEC Cautions Mutual Funds That They May be Misdirecting “Sub-Accounting Fees” And Impacting Investor Returns
:
Updated:
Hedge Fund News: Fund Manager Steven Cohen Not Allowed Supervisory Role Until ’18, Father & Son Get Prison Term for Fraud, & Former New Stream Capital Executives Are Permanently Barred from the Securities Industry
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Updated:
401(K) Plan Lawsuit Accuses Anthem of Charging Excessive Fund Feeds
:
Updated:
Shareholder Files Against REIT Over $41M Puerto Rico Hotel Loan Write-Down
:
Updated:
FINRA Bars Ex-National Securities Broker Zachary Bader Over Investor Fraud Allegations
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Updated:
Puerto Rico Will Make $330M in Bond Payments, Defaults on About $37M
:
Updated:
SEC’s Report Evaluates The Definition of An Accredited Investor
:
Updated:
As Redemption Requests Go Up, Whitebox Advisors to Liquidate Three Mutual Funds
:
Updated:
Insider Trading News: SAC Capital Resolves Shareholder Lawsuit, Chinese Traders Settle SEC Charges, Another Court Turns Down Rajat Gupta’s Conviction Appeal SAC Capital Advisors Settles Insider Trading Case for $10M
:
Updated:
Securities Fraud News: Barclays to Pay $13.5M For Unsuitable Fraud Transactions, Appeals Court Upholds Asset Freeze of Wyly Brothers’ Relatives, Ex-NBA Player to Get Sentence for Ponzi Scam Conviction
:
Updated:
Wells Fargo Sued by Commerz Bank in Mortgage-Backed Securities Case
:
Updated:
Court Refuses to Overturn Criminal Conviction of Ex-UBS/Citigroup Trader
:
Updated:
Man Released from Prison Faces New Fraud Charges in $11M Investor Stock Scam
:
Updated:
FINRA News: Regulator Seeks to Restrict Brokers’ Political Contributions, Sends SEC Proposal Regarding Broker-Compensation, and Fines Firm $2.95M Over Inaccurate Blue Sheet Data
:
Updated:
Cantor Fitzgerald to Pay $7.3M Over Microcap Sales
:
Updated:
US Continues Its Probe As Deutsche Bank Alleges $10B in Suspect Russia Trades
:
Updated:
Fidelity Must Pay $1M Penalty For Failing to Detect Elder Financial Fraud
:
Updated:
JPMorgan Chase Resolves “London Whale” Class Action Securities Lawsuit for $150M
:
Updated:
Turing Pharmaceutical Martin Shkreli is Arrested, Faces Criminal and Hedge Fund Fraud Charges
:
Updated:
Former RBS Bond Trader Pleads Guilty to Fraud
:
Updated:
Investors With Junk Bond Exposure Beware
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Updated:
Morgan Stanley to Pay $8.8M in Parking Scam
:
Updated:
Securities Fraud Cases: Investment Adviser Faces SEC Charges, Woman Pleads Guilty to $1.1M Financial Scam, and NJ Man is Accused of $13M Pump-and-Dump Scam
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Updated:
J.P. Morgan Chase Settles SEC and CFTC Charges Alleging Client Steering for $307M
:
Updated:
LPL Financial to Pay $750K in Nontraded REIT Case Involving Elderly Investor in New Hampshire
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Securities Cases: Class Action Lawsuit Charges Fidelity with Duty Breach, Billionaire Ira Rennert in Court Over Alleged $70M Pension Fund Fraud, and Dole Sued Over Merger Fraud
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Focused Credit Junk Bond Collapses, Leaving Investors in the Lurch
:
Updated:
Securities Fraud News: Texas REIT’s Share Price Drops Following Ponzi Allegations, Morgan Stanley, Ex-Broker Are Found Jointly Liable in $1M Elder Fraud Case, and Brokerage Firm Resolves Variable Annuities Claims for $475K
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Hedge Fund News: Millennium Global Wants Citigroup to Pay $53M Over Shut Out Trades, Stone Lion Capital Suspends Redemptions Following Withdrawal Requests
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Updated:
Morgan Stanley to Settle Mortgage Backed-Securities Claims Involving Credit Unions for $225M
:
Updated:
Congress Introduces Two Bills to Address $70B Puerto Rico Debt Crisis
:
Updated:
Alleged Immigration Scams Lead to SEC Fraud Charges
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Updated:
NY Man Convicted in $800K Hedge Fund Fraud
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Updated:
SEC Investigating Whether Banks Were Involved in Credit Swap Collusion
:
Updated:
SEC Approves Change to FINRA’s BrokerCheck On When to Publish Firings
:
Updated:
RCAP Settles Proxy Fraud Allegations With Massachusetts for $3M, Shuts Down Wholesaling REIT Brokerage Division
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Updated:
Ex-J.P. Morgan Bankers to Settle SEC’s $8.2M Bribery Case Related to Jefferson County, Alabama Bonds
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Updated:
SEC Files Charges Against Traders for Options Trading Scams
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Updated:
Citigroup Could Pay $872M in Securities Lawsuit by Allied Irish Banks
:
Updated:
SEC Cases: Ex-Stockbroker Accused of Bilking Investor for Home Renovations, Marwood Group Admits to Wrongdoing Over Compliance Failures, and Ex-Goldman Sachs Employee Faces Insider Trading Charges
:
Updated:
SEC Sets Deadline for New Fiduciary Standard
:
Updated:
NFL Linebacker Dwight Freeney is Allowed to Move Forward with Securities Fraud Lawsuit Against Bank of America
:
Updated:
SEC, CFTC Look to Enhance Oversight of Alternative Trading Systems, High Speed Trading
:
Updated:
SEC Probes Into Municipal Securities Violations Expected to Lead to Enforcement Actions
:
Updated:
RBS May Be Subject to More Criminal Charges Over Alleged Loan Securities Price Inflations
:
Updated:
Man Pleads Guilty to $5.4M Texas Investment Fraud
:
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Securities News: Barclays to Pay $120M to Settle Libor Rigging Litigation, Investment Advisor Firm Settles Charges Over Custody Rule Violations, and SEC Accuses Man of $190M Scam Involving Private Placements, Nursing Homes
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FINRA Cases: Deutsche Bank Fined $1.4M for Reg SHO and Short Interest Reporting Violations, Scottrade to Pay $2.6M for Email and Electronic Record Failures, and Cantone Capital Faces Fraud Charges
:
Updated:
Madoff Ponzi Scam Investors to Get $1.18B, Ernst & Young Found Liable in Auditing of Feeder Fund
:
Updated:
Securities Fraud Cases: Wedbush to Pay $813K Over Investment Fraud Allegations, SEC Files Pump-and-Dump Charges in Marley Coffee Case, and CFTC Accuses IB Capital of Soliciting $50M for Forex Trading While Unregistered
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Updated:
SEC Says Amish Investors Were Bilked in $3.9M Securities Fraud
:
Updated:
Massachusetts Regulator Expands Proxy Vote Fraud Probe of Realty Capital Securities to Include Independent Broker-Dealers and Advisers that Sold Alternative Investments
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Updated:
Southwest Securities Found Liable for $5.45M in Texas Investment Fraud
:
Updated:
Virtus Investment Advisers to Pay $16.5M to Settle False Performances Claims Related to ETF Portfolio Strategy
:
Updated:
SEC Headlines: Regulator Warns Investment Advisors About Outsourcing Compliance, Chairwoman White Talks About Private Placement Fundraising, Criticizes Bill Seeking to Place Limits on BDCs
:
Updated:
10 Former Barclays and Deutsche Bank Traders Charged with Rigging Euribor
:
Updated:
Massachusetts Regulatory Charges Realty Capital Securities With Fraud Related to Proxy Votes in Real Estate Deals
:
Updated:
Oil Companies Expected to Default
:
Updated:
Securities Fraud Headlines: NBA’s Tim Duncan Sues Financial Adviser Again, JPMorgan Hackers Face Criminal Charges, and FINRA Warns Military Vets May Be Targeted by Their Own
:
Updated:
FINRA Awards First United Bank & Trust Over $11.5M in Arbitration Case Against First Horizon National Involving CODs and Other Securities
:
Updated:
Investors May Have Lost Up to 88% in Goldman Sachs BRIC Fund
:
Updated:
Republican Rep. Introduces Bill to Place Limits on SEC’s Use of In-House Judges
:
Updated:
Securities Headlines: FINRA Seeking to Fine MetLife Over Variable Annuity Sales, SEC Accuses Scottish Trader of Sending Fake Tweets, Market Rigging, and Judge Orders Man to Stop Crowdfunding Fraud
:
Updated:
JPMorgan Ordered to Pay Family Trust Over $1M Related To Purported Violations Involving Short Trading, Leveraged ETFs and Ex-Firm Adviser Must Pay $22M for Fraud
:
Updated:
Fenway Partners to Pay Over $8M For Not Disclosing Conflicts of Interest
:
Updated:
Securities Cases: More Brokers Identified by SEC in Stock Rigging Case, Former Ameriprise Broker Gets Prison Term for Fraud, and Boeing Settles 401K Case for Almost $57M
:
Updated:
SEC Issues Over $325K Whistleblower Award to Ex-Investment Firm Employee Who Provided Fraud Tip
:
Updated:
FINRA Cautions Against Binary Options and Their Risk of Fraud
:
Updated:
SEC Probes Advisers With Access to Client Retirement Accounts, Approves Crowdfunding Rules Connecting Investors with Small Businesses
:
Updated:
Securities News: J.P. Morgan Face Restrictions on Raising Clients Funds In the Wake of Improper Product Disclosures to Investments, Intel Sued Over Improperly Investing 401K Funds, and Citigroup, Bank of America, Other Big Banks Get New Bailout Rules
:
Updated:
Financial Adviser is Sentenced in $1.2B Rothstein Ponzi Scam
:
Updated:
Goldman Consents to Three-Year Bar On Certain Advisory Work, Settles Leak Case with NY Fed for $50M
:
Updated:
Massachusetts Regulator Says Fidelity Let Unregistered Advisers Trade on Its Broker-Dealer Platform
:
Updated:
Edward Jones, AXA Advisors, Stifel Nicolaus, and Others to Pay $13M to Retirement Accounts, Charities for Mutual Fund Overcharges
:
Updated:
CFTC Sues Chicago Trader and 3RedTrading for Spoofing
:
Updated:
Securities Enforcement: DBSR to Pay Almost $6M to Settle SEC Related to Ratings Methodology for RMBSs and Re-REMICs, FINRA Censures NFP Advisor Services for Inadequate Supervision of Private Securities Transactions
:
Updated:
Ex-Coastal Investment Advisors President Admits to Bilking Investors, Including Seniors
:
Updated:
Securities News: Deutsche Bank to Pay $2.5M For Swaps Violations, Fifth Street Finance Sued in Class Action Lawsuit, and Countrywide’s $8.5B MBS Settlement Gets IRS Approval
:
Updated:
CFTC Cases: Cash Flow Financial Must Pay Over $91.9M in Commodity Pool Ponzi Scam, BNP Paribas to Pay $140K Over Improper Segregation of Customer Funds, & Unauthorized Trading Leads to $500K Penalty
:
Updated:
FDIC Approves New Swaps Rules for Banks
:
Updated:
FINRA Orders 12 Financial Firms to Pay $6.7M for Not Charging UIT Purchase Discounts
:
Updated:
Morgan Stanley, JPMorgan, Barclays and Other Banks To Pay $1.86B to Settle Credit Default Swaps Price Fixing Claims
:
Updated:
UBS Advisory Firms To Pay Investors $13M For Failure to Disclose Closed-End Fund Strategy Modification
:
Updated:
Barclays Resolves RMBS Lawsuits for $325M
:
Updated:
CFTC Charges Guardian Asset Group With Illegal Off-Exchange Precious Metal Transactions
:
Updated:
Ex-Edward Jones Advisor Gets Five Years Behind Bars for Bilking 56-Year-Old Disabled Woman
:
Updated:
Ex-Rabobank Traders on Trial for Libor Rigging in the US
:
Updated:
UBS To Pay $19.5M Over Notes Tied to Currency Index
:
Updated:
SEC Charges Against Six Firms For Stock Offering-Related Short Sale Violations Results In Over $2.5M in Sanctions
:
Updated:
Santander Securities to Pay $6.4M Over Puerto Rico Muni Bond and Closed-End Fund Sales
:
Updated:
Pimco, Allianz, Sued in 401K Class Action Case Alleging $2.5M in Excessive Fees
:
Updated:
SEC Approves Rule Requiring Firms, Brokers Link to BrokerCheck
:
Updated:
FINRA Fines Voya Financial, J.P. Turner, Cetera, and Other Firms For Not Discounting Big REIT Sales
:
Updated:
SEC Charges Briargate Trading LLP with Spoofing
:
Updated:
Securities Headlines: Halcyon Cabot Partners is Expelled from Industry by FINRA, Blackstone Settles Disclosure Failure Charges for Nearly $39M, SEC Approves Proposal to Improve Transparency for OTC Equity Securities
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Updated:
SEC Case Headlines: New Jersey Fund Manager Faces Charges Over $1.1M Ponzi Scam, $32M Fraud Scam Involving Amber Mining is Halted, and Executives Face Charges for Allegedly Bilking Investor in Stock Fraud
:
Updated:
Six Ex-Brokers Go to Trial Over Libor Rigging Allegations in London
:
Updated:
Florida Investment Adviser is Charged With Securities Fraud
:
Updated:
SEC Regulation News: Commission Proposes Mutual Fund, ETF Liquidity Management Rules, Requests Regulation S-X Comments, and Takes Out Credit Ratings References in Money Market Fund Form and Rule
:
Updated:
UBS Puerto Rico to Pay $18.5M to Settle FINRA Sanctions Over Supervisory Failures Related to Closed-End Fund Sales
:
Updated:
Latour Trading Faces SEC Charges Over Market Structure Rule Violations, Will Pay Over $8M
:
Updated:
UBS Puerto Rico To Pay the SEC $15M Over Closed-End Bond Fund Sales
:
Updated:
SEC Accuses Investment Adviser of Fraud Involving Over $40M In Illiquid Securities
:
Updated:
NASAA Board Releases Proposed Model Act to Protect Vulnerable Adults from Financial Exploitation for Comment
:
Updated:
Credit Suisse to Pay $4.25M Over Blue Sheet Trading Data that Was Deficient
:
Updated:
Father and Sons Charged in $20M Stock Scam
:
Updated:
Broker Fraud News: Ex-Dallas Broker Faces Prison, Fintegra Files for Bankruptcy, and Broker Who Promised Investors They’d Double Their Money Can No Longer Sell Securities
:
Updated:
Pension Fund Fraud: Ex-Detroit Treasurer Gets 11 Years in Prison, Gates Foundation Trust Sues Petrobas, Utah Bank to Pay $5M Over Missing Retirement Monies
:
Updated:
SEC Proposes to Modify Rules Regarding The Use of Its In-House Judges in Enforcement Cases
:
Updated:
LPL to Pay $3.2M Over Nontraded REIT and ETF Sales
:
Updated:
SEC Headlines: Regulator Settles Private Equity Fund Fraud Case for $6.8M, Accuses R.T. Jones of Not implementing Cybersecurity Measures, and Files A Securities Case Over Stock Manipulation
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Updated:
SEC Charges First Eagle Investment Management With Improper Use of Shareholder Assets
:
Updated:
FINRA Headlines: Regulator Seeks to Curb Broker Record Expungement, Continues to Fight Elder Abuse and Issues Liquidity Risk Management Guidance
:
Updated:
Ex-Aurelia Finance Managers Compensate Asset Managers Bilked in Madoff Ponzi Scam
:
Updated:
SEC Denied Request that Temporary Ban on In-House Judges Be Lifted
:
Updated:
SEC Files Fraud Charges in $18M Arizona Securities Scam that Bilked 225 Investors
:
Updated:
Insider Trading Cases: Judge Says SEC Can Charge Former Euro-Pacific Capital Brokers, Ex-Morgan Stanley Broker Pleads Guilty, Traders Who Used Hacked News Releases Settle for $30M, Father and Son Face Charges,
:
Updated:
FINRA Bars Global Arena Capital Brokers for Cockroaching, Churning, and Other Securities Violations
:
Updated:
Credit Suisse To Pay Over $80M to Settle Dark Pool Allegations, Says Source
:
Updated:
US Study Says Older People Are More Susceptible to Financial Fraud Because of How The Brain Works
:
Updated:
Bank of America, Deutsche Bank, Citigroup, & Other Big Banks Settle $1.87B Settlement Over Swaps Price-Fixing Case
:
Updated:
Another RIA/Financial Radio Show Host Charged with Securities Fraud
:
Updated:
SEC Moves to Stop Financial Fraud That Bilked Over 100 Investors Of Over $14 Million
:
Updated:
CFTC Investigates JP Morgan For Product Steering
:
Updated:
Three Ex-Nomura Traders Face RMBS Fraud Charges
:
Updated:
Ex-NHL Star’s Financial Manager Convicted of Multimillion-Dollar Fraud, Ponzi Scam
:
Updated:
FINRA Fines Charles Schwab $2M for Supervisory Failures, Capital Deficiencies
:
Updated:
SEC Orders Investment Advisory Firm to pay $21M For Allegedly Retaining Clients’ CDO Fees
:
Updated:
FINRA Orders UBS to Pay Investors Over $2.9M For Puerto Rico Bond and Fund Losses
:
Updated:
UBS Settles Pursuit Partners’ CDO Lawsuit Over Asset-Backed Securities
:
Updated:
11th Circuit Revives City of Miami’s Mortgage Fraud Lawsuits Against Wells Fargo, Citigroup, and Bank of America
:
Updated:
SEC Gets Asset Freeze in Alleged $125M Fraud Case Involving Chinese Investors Seeking US Immigration
:
Updated:
SEC Charges J.P. Morgan Ex-Investment Bank Analyst and Friends with Insider Trading
:
Updated:
Shareholders Can Sue Barclays Over Libor Rigging, Rules Judge
:
Updated:
Beware of UBS Puerto Rico Sending Out Settlement Offers
:
Updated:
FDIC Sues Bank of NY Mellon, Citigroup, and US Bancorp for soured RMBSs Purchased by Guaranty Bank
:
Updated:
SEC Says Broker-Dealers Need to Do a Better Job of Monitoring High Risk Products
:
Updated:
Former Merrill Lynch Broker Must Pay $1.4M for Insider Trading
:
Updated:
Puerto Rico Delays $750M Bond Sale
:
Updated:
Citco Settles Madoff-Related Securities Case With Fairfield Investors for $125M
:
Updated:
FSC Securities to Be Held Accountable for $1.2M FINRA Arbitration Award Issued to Victims of Ponzi Scammer Who Faked His Death
:
Updated:
Citigroup Global Markets to Pay $15M Penalty to the SEC for Surveillance and Compliance Failures
:
Updated:
FINRA Probes Broker Pay for Conflicts of Interest
:
Updated:
Over 14,000 Massachusetts Investors Receive Checks for Losses in $1B TelexFree Ponzi Scam
:
Updated:
Citigroup Affiliates to Pay $180M To Resolve Hedge Fund Fraud Charges
:
Updated:
Insider Trading Charges Filed Against 32 Defendants in Hacking Scam Involving Newswire Services
:
Updated:
UBS Puerto Rico Branch Manager Had Warned that Brokers Were Pushing Improper Loan Practices
:
Updated:
Investors Could Get Hurt By REM, and Other ETFs Impacted by Growing Short-Term Rates
:
Updated:
Ex-Caldwell Broker is Barred by FINRA for Churning Accounts
:
Updated:
Goldman Sachs to Pay $272M to Pension Funds In Mortgage Securities Case
:
Updated:
Edward Jones to Pay $20M to Resolve Municipal Bond Sales Overcharges
:
Updated:
ITG, AlterNet Securities to Pay $20.3M to Settle SEC Charges that it Misused Confidential Dark Pool Data, Ran Secret Trading Desk
:
Updated:
Dad of Ex-JPMorgan Banker Pleads Guilty to Insider Trading
:
Updated:
UBS Ordered to Pay Over $2.5M to Retired Couple in Puerto Rico Bond Fraud Case
:
Updated:
StockCross Financial Services to Pay $800K for Regulation SHO Violations
:
Updated:
Pimco Gets Wells Notice Over Markings of Total Return ETF
:
Updated:
Senate Bill Would Double Statute of Limitations for The SEC to Pursue Securities Violations
:
Updated:
Houston-Area Business Man Charged with Running $114M Texas Ponzi Scam
:
Updated:
Ex-UBS and Citigroup Trader Gets 14 Years in Prison for Libor Rigging
:
Updated:
Aegis Capital Fined $950K by FINRA Over Penny Stock Scheme
:
Updated:
Former Standard & Poor Executive’s Case Against the SEC Over In-House Judge Can Proceed
:
Updated:
Voya Financial Advisors Restricts Variable Annuities Sales
:
Updated:
SEC Cases: Pennsylvania Lawyer is Charged with Insider Trading, San Diego Investment Adviser is Accused of Stealing Client Funds, and New York Man is Arrested for Fraud
:
Updated:
Ex-Head of Chicago Investment Firm Gets 6-Year Sentence for $9M Ponzi Scam
:
Updated:
U.S. DOJ Wants Supreme Court To Review Major Insider Trading Ruling that Reversed the Convictions of Hedge Fund Managers
:
Updated:
Cetera Shutters J.P. Turner, Claims Move Is Not Part of Broader Firm Consolidation
:
Updated:
Britain’s FCA Bans Ex-Rabobank Trader Over Libor Rigging
:
Updated:
FINRA Orders Morgan Stanley to Pay $2.4M Over Ex-Broker’s Trades, Bars Former Merrill Lynch Trader from the Industry
:
Updated:
UBS Warns Investors to Stay Away from Puerto Rico Bond Funds
:
Updated:
DOL Says It Will Modify Fiduciary Rule Proposal Involving Retirement Accounts
:
Updated:
Ex-Oppenheimer Employees Resolve SEC Charges Over Unregistered Penny Stock Sales
:
Updated:
SEC Probes Whether Mutual Fund Managers Are Charging Investors Undisclosed Fees
:
Updated:
SEC Awards Over $3M to Whistleblower
:
Updated:
Puerto Rico Owes $5.4B of Bond Payments
:
Updated:
U.S. Chamber of Commerce Wants the SEC to Reform Its In-house Trials
:
Updated:
Wells Fargo Must Pay Woman Over $8M For Alleged Fraud Involving Childhood Trust
:
Updated:
Royal Alliance Must Pay $1.4M To Retirees for Non-traded REIT, Variable Annuities Sales
:
Updated:
Massachusetts Regulator Probes Alternative Mutual Funds Sold by JPMorgan Chase, Wells Fargo, BlackRock, and Other Financial Advisers
:
Updated:
JPMorgan Settles Class Action Mortgage-Backed Securities Case for $388M
:
Updated:
OppenheimerFunds Says Puerto Rico Can Repay Its $72B Debt
:
Updated:
Oz Management to Settle SEC Charges Over Inaccurate Data by Paying $4.25M
:
Updated:
LPL Financial Fined $250K by Massachusetts Over Misrepresentations Made to Senior Investors
:
Updated:
$30M Fraud that Bilked NHL Players Leads to Guilty Convictions
:
Updated:
Massachusetts Regulator Charges Securities America Over Bait and Switch Ads By Broker Accused of Targeting Senior Investors
:
Updated:
Ex-Deutsche Bank Employees May Face Libor Rigging Charges
:
Updated:
Bipartisan U.S. Senate Bill Wants to Up SEC Fines For Securities Law Violations By Almost Ten Times
:
Updated:
F-Squared Files for Chapter 11 Bankruptcy
:
Updated:
SEC Stops Ponzi Scam that Targeted Portuguese and Spanish Communities
:
Updated:
Wells Fargo, LPL Financial, and Raymond James to Pay Investors of Retirement Accounts and Charities Over $30M for Mutual Fund Overcharges
:
Updated:
FINRA Orders BNP Paribas Securities to Pay Retired Couple $16.6M for Unsuitable Investment Sale
:
Updated:
Two Former-Bank of Oswego Executives are Indicted for Fraud
:
Updated:
SEC Appeals Its In-House Agency Judge’s Decision to Throw Out Charges Against Financial Advisers Paid by Fidelity to Push Specific Mutual Funds
:
Updated:
As Puerto Rico Asks Creditors for Concessions, S & P Downgrades the Territory’s Debt and Investors Get Ready for More Losses
:
Updated:
Hedge Fund Advisory Firm to Pay the SEC $5M to Settle Fund Valuation Scam Allegations
:
Updated:
KKR & Co. Will Pay Nearly $30M to Settle SEC Charges of Misallocating Broken Deal Expenses
:
Updated:
Goldman Sachs to Pay $7M Over Market Access Rule Violation Allegations
:
Updated:
Federal Judge in Texas Says Law Firms Must Face Lawsuit Seeking Creditor Payments in Stanford Ponzi Fraud
:
Updated:
BaFin Report Accuses Deutsche Bank Executives of Negligence in Libor Rigging
:
Updated:
New SEC Program Will Examine Financial Firms and Their Retirement-Planning Guidance
:
Updated:
SEC Charges Unregistered Brokers for Handling Over $79M of Investments in Immigrant Investor Program
:
Updated:
Morgan Stanley and Scottrade to Pay FINRA $950K FINRA for Inadequate Supervision of Third Party, Customer Account Transfers
:
Updated:
Investor Want Wells Fargo Advisers to Pay $100K in Damages Over F-Squared Investment Losses
:
Updated:
SEC’s Stein Wants Regulator to Take a Closer Look at Exchange-Traded Funds and Alternative Mutual Funds
:
Updated:
SEC Accuses Chicago Underwriters of Municipal Bond Offerings Fraud
:
Updated:
Boston Investment Adviser Accused of Losing Over $12M of Investor Funds is Charged with Securities Fraud
:
Updated:
San Antonio Spurs’ Tim Duncan Addresses $20M-Plus Texas Securities Case Against His Former Financial Adviser
:
Updated:
SEC File Action Against Company Accused of Offering Security-Based Swaps to Retail Investors
:
Updated:
US Government Places Restrictions on Wells Fargo, JP Morgan Chase, and Other Banks for Not Complying with Orders Related to Foreclosure Abuses
:
Updated:
FINRA Pursues Broker For Allegedly Trying to Bilk Elderly Investor with Alzheimer’s of $1.8M
:
Updated:
SEC Charges Investment Advisory Firm’s Former President With Stealing Client Monies, Including $300,000 from Mike Tyson
:
Updated:
New Jersey Hedge Fund Manager Faces SEC Charges for Bilking Small Businesses Out of Over $4M
:
Updated:
Two Stockbrokers, Biotech Employee Face Insider Trading Charges Related to Pharmaceutical Trials and A Merger
:
Updated:
Renowned Money Manager Who Was Fired from Merrill Lynch is Named in Several Investor Fraud Cases
:
Updated:
Investors Targeted by Advanced-Fee Scams Using Bogus Regulator Websites and Fake Broker Identities
:
Updated:
Canadian Trader Must Pay Over $1M For Short Selling Violations
:
Updated:
Trustee Says that Texas Company Life Partners Holdings Bilked Investors
:
Updated:
SEC’s Use of In-House Judge in Insider Trading Case is Likely Unconstitutional, Rules Federal Judge
:
Updated:
Former Stockbroker Pleads Guilty to Fraud Involving $6M Ponzi Scam
:
Updated:
States Take Action to More Easily Identify Barred Brokers Who Are Still Selling Insurance
:
Updated:
DOJ Prepares Mortgage Fraud Cases Against More Banks
:
Updated:
Advisors Favor Exchange-Traded Funds
:
Updated:
SEC Warns About Fake Investment Advisers Who Inflate or Fake Their Credentials
:
Updated:
SEC, Prosecutor Charge Miami Investment Adviser With Defrauding Retired Teachers and Law Enforcement Officers with Ponzi Scam
:
Updated:
SEC Files Insider Trading Charges Involving Secondary Stock Offerings
:
Updated:
Merrill Lynch to Settle Short-Selling Case for $11M, Admits to Wrongdoing
:
Updated:
Sage Advisory Group Must Pay Over $1M for Two Securities Fraud Cases
:
Updated:
Thousands More Investors in Bernard Madoff Ponzi Scam Could Get Financial Recovery
:
Updated:
FINRA on BrokerCheck and Broker Compensation
:
Updated:
Ex-Trident Partners Compliance Director Faces SEC Charges for Allegedly Defrauding Investors And Stealing Broker-Dealer Assets
:
Updated:
Ohio Stockbroker Jerry Cicolani Finally Barred From Financial Industry
:
Updated:
Dallas Trader is Sentenced in $3.5M Texas Securities Fraud Case Involving Institutional Investors
:
Updated:
Massachusetts Securities Regulator Sues the SEC Over New Rules Affecting Small Company Stock Offerings
:
Updated:
Deutsche Bank Ordered to Pay $55M for Misstating Financial Reports During the Economic Crisis
:
Updated:
SEC News: New Rules for Investment Advisers & Companies Proposed, Pilot to Evaluate Tick Size Impact Approved, Outreach Program to Help Ensure Compliance Unveiled, and Cross-Border Swap Rules Approved
:
Updated:
Nationwide to Pay $8M Over Variable Annuity Pricing Violations
:
Updated:
Gray Financial is Charged with Bilking Georgia Pension Funds
:
Updated:
UBS Must Pay Investor $1M for Puerto Rico Bond Fund Portfolio
:
Updated:
UBS, J.P. Morgan, Citigroup, RBS, and Barclays to Pay $5.6B in Penalties Over Fx, Libor Investigations
:
Updated:
Morgan Stanley to Pay $2M for Violations Involving Short Sales and Short Interest Reporting
:
Updated:
U.S. Supreme Court Rules on 401K Lawsuit, Gives Investors More Protections
:
Updated:
Nomura & Royal Bank of Scotland Must Pay $806M in Mortgage-Backed Securities Case
:
Updated:
Financial Fraud Headlines: “The Financial Coach” to Pay $3.6M in Restitution to Investors, SEC Charges Father and Son with Insider Trading, and Massachusetts Accuses Investment Firm of Elder Financial Fraud
:
Updated:
FINRA Gets Tough With Its Sanctions Against Brokers For Suitability Violations
:
Updated:
Barclays Also Likely to Be Fined For Libor Settlement Breach
:
Updated:
UBS Ordered to Pay Retired Investor $200,000 For Puerto Rico Bond Fund Losses
:
Updated:
Goldman Sachs Must Pay National Australia Bank $100M in Mortgage Fraud Case
:
Updated:
Moody’s Investors Group Drops City of Chicago’s Credit Rating to Junk
:
Updated:
Texas-Based Retirement Planning Firm Accused of Making False Claims to Investors About Life Settlements
:
Updated:
Nomura Holdings and Royal Bank Scotland Lose FHFA’s Mortgage-Backed Securities Case
:
Updated:
Florida Microcap Co. Accused of Bilking Over 400 Investors of More than $11M
:
Updated:
Barclays, Citigroup, J.P. Morgan Chase & Royal Bank of Scotland to Settle FX Rigging Allegations
:
Updated:
LPL Financial to Pay $11.7M Fine for Supervisory Failures
:
Updated:
City of Los Angeles, CA Sues Wells Fargo for Fraud
:
Updated:
RBC Capital Markets Must Pay $1M Fine and $434K Restitution to Customers Over Unsuitable Reverse Convertible Sales
:
Updated:
More than $600K Whistleblower Award to Be Issued in SEC’s First Retalitation Case
:
Updated:
Ex-Sonics Special Assistant Accused of $4M Wire Fraud, Ponzi Scam
:
Updated:
Puerto Rico’s General Obligation Rating is Downgraded to CCC+
:
Updated:
SEC Investigates Bank of America Merrill Lynch
:
Updated:
FINRA and SEC Unveil Report on Senior Investors, Cite Concerns About Unsuitable Recommendations
:
Updated:
Morgan Stanley Sued by Home Shopping Founder’s Widow for $170M
:
Updated:
Puerto Rico, Hedge Funds Look to Ex-IMF Officials to Help With Debt Crisis
:
Updated:
BlackRock Advisors Settles SEC Charges Over Conflict of Interest Disclosures for $12M
:
Updated:
FINRA Bars Wells Fargo Broker to NFL, NBA Players Over Failure to Disclose Nightclub Involvement
:
Updated:
Killeen Man Accused of Texas Securities Fraud Targeting Military
:
Updated:
Deutsche Bank to Pay $2.5B for Rate Rigging
:
Updated:
Trader Blamed in 2010 Flash Crash is Arrested in London
:
Updated:
Boston Investment Adviser Must Pay Two Investors A $48M Arbitration Award
:
Updated:
Securities Class Action Says ARCP Made Over $900M From Acquisition Binge
:
Updated:
Texas Securities Scam Allegedly Bilked Investors of $4.4M
:
Updated:
Former Tullett Prebon Broker, Rabobank Trader Plead Not Guilty To Libor Manipulation Charges
:
Updated:
Former JPMorgan Chase Investment Adviser Faces Criminal and Civil Charges for Allegedly Stealing $20M from Clients
:
Updated:
Former UBS Puerto Rico Executives File a $10M FINRA Arbitration Claim Against the Firm
:
Updated:
SEC Settles With Ex-Freddie Mac Executives Over Allegations They Mislead Investors Over Mortgage Risks
:
Updated:
FINRA Bars Owner of Broker-Dealer, Seller of Illiquid Equipment-Leasing Funds for Misusing Investor Money
:
Updated:
Plaintiffs Appeal Federal Court’s Ruling Dismissing Their 401(K) Lawsuit Against Fidelity
:
Updated:
Pacific West Faces SEC Fraud Charges Over Life Settlements
:
Updated:
Deutsche Bank Settlement Over Libor Rigging Likely to Exceed $1.5B
:
Updated:
U.S.’s $1B Mortgage Bond Trial Against Nomura Holdings Comes to a Close
:
Updated:
SEC Sues Ex-New York Giants Cornerback Over Alleged Ponzi Scam
:
Updated:
SEC Files First Enforcement Action Protecting Whistleblower Confidentiality Agreements
:
Updated:
LPL Financial Should Pay $3.6M in Fines, Repayments for REIT Sales to Older Investors, Says NH Regulator
:
Updated:
Two Firms Charged in Texas With Running Fraudulent Commodity Pool Must Pay Over $7.5M
:
Updated:
Barclays Must Pay Former Trader $9M, Ex-Raymond James Broker Gets Back $650K Award
:
Updated:
Investor Fraud News: NFL Free Agent Sues Bank of America For $20M, FINRA Arbitration Panel Awards $1.3M to Investor in Case Involving Ex-Stifel Broker, and Tony Thompson and His Brokerage Firm are Barred from Industry
:
Updated:
Financier Lynn Tilton Sues the SEC After She is Charged with Securities Fraud
:
Updated:
SIFMA Says White House Isn’t Entirely Right About The Cost of Abusive Trading to Investors
:
Updated:
FINRA Fines J.P. Turner, LaSalle St. Securities, and H. Beck For Report Supervision Lapses
:
Updated:
Oppenheimer Must Pay $2.5 Million Fine, $1.25 Million in Restitution for Not Supervising Ex-Broker
:
Updated:
Ex-Rabobank Trader Banned from Financial Services Industry in Britain for Libor Manipulation, Another Pleads Not Guilty in the US
:
Updated:
Puerto Rico’s Debt Gets Downgraded to “B” by Fitch Ratings
:
Updated:
Ex-F-Squared CEO Still Battling SEC, Firm Dealing With Fallout from Securities Fraud Charges
:
Updated:
Ameriprise Financial Settles 401(k) Fiduciary Breach Case for $27.5M
:
Updated:
First New York Securities to Pay $916K to FINRA for Illegal Short Selling
:
Updated:
Ponzi Scams: Madoff Victims to Get $93M, Fraud Lawsuits Name Insurance Brokerage Head in $10M Scheme
:
Updated:
SEC Rejects Broker’s Efforts to Start RIA While Behind Bars
:
Updated:
Bank of America’s Merrill Lynch to Pay $2.5M to Massachusetts Over Compliance Rule Relapse
:
Updated:
US Prosecutors May Revoke Currency Rigging Settlements
:
Updated:
Over $44M Lost in Alleged Investment Adviser Scam Involving Total Wealth Management
:
Updated:
Bank of New York Mellon Corp. Settles Currency Fraud Lawsuits Involving Pension Funds for $714M
:
Updated:
Financial Fraud Victims’ Suffering is More Than Just Monetary, Affirms FINRA Report
:
Updated:
HTG Capital Partners Files High-Frequency Trading Lawsuit Alleging That It Was the Victim of Spoofing
:
Updated:
Ex-Green Bay Packers’ Bruce Wilkerson Awarded $2M Against Resource Horizons Group Over Ponzi Scam Involving Rogue Broker
:
Updated:
CNL Lifestyle Properties REIT Dips in Value, May Sell Ski Resorts
:
Updated:
Consumer Groups Accuse SEC of Not Protecting Retail Investors and Poorly Regulating Investment Advisers
:
Updated:
Nomura Holdings Goes to Court in FHFA Mortgage Case Alleging that Freddie Mac and Fannie Mae Were Misled
:
Updated:
Ex-Nomura, RBS Trader Enters Guilty Plea to Bond Fraud
:
Updated:
Wealthfront CEO Claims Schwab is Fooling Investors Over “Free” Automated Investment Platform
:
Updated:
Appellate Court Says Charles Schwab & Co. Must Face Financial Advisory Firm’s Lawsuit Over Mortgage Debt Involving Bond Funds
:
Updated:
District Court Imposes $26M Commodity Pool Fraud Penalty
:
Updated:
Texas-Based Broker-Dealer Faces SEC Charges Over Supervisory and Customer Protection Violations
:
Updated:
Citigroup, Wells Fargo, JPMorgan Chase, And 27 Other Big Banks Pass Fed Stress Tests’ Phase One
:
Updated:
Doral Bank In Puerto Rico Fails
:
Updated:
Broker and Adviser News: Morgan Stanley Sues Ameriprise Broker, Former UBS Broker Alleges Investor Risk Levels Were Mischaracterized, and Ex-Bank of America Merrill Lynch Trainees Seek Overtime
:
Updated:
Texas Wyly Brothers Must Pay SEC $299.4M for Securities Fraud
:
Updated:
SEC Examines The Way Companies Deal with Whistleblowers
:
Updated:
Bill Seeks to Eliminate Mandatory Arbitration Clause From Brokerage Contracts, While SEC Approves New Public Arbitrator Limits
:
Updated:
Judge Temporarily Blocks Meredith Whitney Fund From Making Investor Payouts in the Wake of BlueCrest Capital Opportunities Lawsuit
:
Updated:
Nontraded REIT Inland American Reduces Its NAV After Asset Sale
:
Updated:
Morgan Stanley, DOJ Arrive at $2.6B Mortgage Bond Settlement
:
Updated:
401K Fees in the Spotlight, With $62M Lockheed Settlement & Edison Class Action Case Before the Supreme Court
:
Updated:
Gray Financial Group Sues the SEC for Using Administrative Law Judges
:
Updated:
SEC Cases: Brothers-In-Law Charged in Louisiana Insider Trading Scam, NY-Based Broker-Dealer Accused of CDO Liquidation-Related Fraud, & Colorado Ponzi Scam is Halted
:
Updated:
SEC Examines Whether Banks Are Complying With Capital Rules
:
Updated:
U.S. Bank National Association Must Pay $18M to Peregrine Customers, Says Court
:
Updated:
US Probing Whether Morgan Stanley Data Breach Was Linked to Fired Financial Adviser
:
Updated:
DOJ Investigating UBS Over Losses Related To Firm’s V10 Enhanced FX Carry Strategy
:
Updated:
EU Fines ICAP $17M for Helping Traders Manipulate Yen Libor
:
Updated:
Jury Says Ex-Envoy Involved in Stanford Ponzi Scam Must Pay $750K
:
Updated:
New Details Accusing HSBC of Aiding Tax Evaders Emerge
:
Updated:
SEC Cases: Insider Trading Charges Filed Against Georgia Resident, Mutual Fund Adviser Accused of Improper Asset Handling, & Two-Ex CFOs Agree to Give Back Bonuses Because of Accounting Fraud
:
Updated:
Securities Fraud Cases: NY Hedge Fund Manager Bilks Investors of Over $800K, Maize Fund Scam Leads to Restitution, Madoff Ponzi Scheme Victims Get $355M, and Kentucky Scheme Ends with Probation, Compensation
:
Updated:
SEC Commissioners Oppose Regulator’s Leniency Toward Oppenheimer, Despite Violations
:
Updated:
Bank of America Used Subsidiary to Finance Trades, Helped Hedge Funds, Others, Avoid Taxes
:
Updated:
SEC Claims Investment Adviser Paid for Fraud Settlement With Client Monies
:
Updated:
U.S. Department of Justice Wants Citigroup, Barclays, JPMorgan Chase, and Royal Bank of Scotland to Plead Guilty to Criminal Charges In Currency Antitrust Investigation
:
Updated:
John Carris Investments Expelled by FINRA
:
Updated:
UBS Financial Puerto Rico’s Chairman Told Brokers to Sell More Bond Funds in 2011
:
Updated:
J.P. Morgan Under Scrutiny Over China Hirings
:
Updated:
U.S. Department of Labor’s Fiduciary Rule for Retirement Advisers Hits Another Snag
:
Updated:
JPMorgan Sued by Indiana Church
:
Updated:
California Insider Trading Ring Made Almost $750K in Illegal Profits, Says the SEC
:
Updated:
Hedge Fund Fraud Leads to Criminal Convictions
:
Updated:
UBS Under Scrutiny in New Tax Evasion Probe
:
Updated:
Standard & Poor’s Settles Inflated Ratings Case for $1.5 Billion
:
Updated:
Sun Antonio Spurs Star Tim Duncan Files Texas Investment Adviser Fraud Case
:
Updated:
DOJ Gets Ready to Wrap Mortgage Bond Case Against Standard & Poor’s, Probes Moody’s
:
Updated:
PFS Investments, Ex-Broker Under Investigation for Securities Fraud that Bilked At Least Twenty Customers
:
Updated:
Libor Manipulation Cases Get the Green Light from U.S. Courts
:
Updated:
Oppenheimer to Pay $20M Settlement to the SEC and FinCEN Over Penny Stock Violations
:
Updated:
White House Looking At Whether Brokers Are Costing Workers Billions in Retirement Funds
:
Updated:
John Carris Investments Expelled by FINRA
:
Updated:
Another Institutional Investor Fraud Lawsuit Accuses American Realty Capital Properties Of Violating Securities Laws
:
Updated:
Insider Trading News: SEC Sues Ex-Capital One Data Analysts, U.S. Attorney Bharara Wants Rehearing in Case Involving Overturned Convictions, and Judge Vacates Four Men’s Guilty Pleas
:
Updated:
Former Canadian Broker’s Securities Fraud Conviction Involving U.S. Transactions is Upheld
:
Updated:
Texas State Securities Board Was Special Prosecutor in $1M Securities Fraud Case
:
Updated:
SEC Adopts Rules Improving Transparency in the Security-Based Swap Market
:
Updated:
Investment Adviser Fraud Cases Lead to Civil Charges, Criminal Convictions, and Investor Losses
:
Updated:
Standard & Poor’s to Pay Almost $80 Million to Resolve SEC Charges Over Ratings Fraud Involving CMBSs
:
Updated:
FINRA Fines Fidelity $350K for Overcharging More than 20,000 Clients $2.4M
:
Updated:
UBS Settles SEC Dark Pool Case for $14M
:
Updated:
MetLife Sues Regulators Over Systemic-Risk Designation
:
Updated:
SEC Accuses Canadian Man of Fraudulent Trading Scam, Use of “Layering” Strategy
:
Updated:
JPMorgan Suspends Forex Trader for Alleged Disclosures Involving Royal Bank of Scotland-Related Activities
:
Updated:
Investment Adviser News: Barred Representative is Now a Finance Coach, Bellingham Man Gets Prison Term for Bilking Seniors
:
Updated:
BATS Global Market Settles Stock Exchange-Related Claims Involving High-Frequency Traders for $14M
:
Updated:
Orders Dallas Man to Pay Over $1.4M in Restitution, Penalty Over Texas Securities Scam Involving Forex Commodity Pool
:
Updated:
Investment Adviser, Ameriprise Financial Services Sued by Hanson McClain Over Client Information
:
Updated:
JPMorgan to Pay $500M to Resolve Mortgage Settlement Involving Bear Stearns, Says Source
:
Updated:
SEC Judge Orders Two Investment Advisers to Pay Over $6.3M Related to Bernard Madoff-Linked Hedge Funds
:
Updated:
Alternative Fund Manager Faces SEC Case, Criminal Charges Alleging $16M Fraud Involving Fake Loans and GL Beyond Income Fund
:
Updated:
FINRA Orders Pershing to Pay $3M Fine for Customer Protection Rule Violations
:
Updated:
Ambac Files Mortgage Bond Lawsuit Against Bank of America
:
Updated:
FINRA Releases Priorities for 2015, Gets SEC Approval for Background Check Rule
:
Updated:
Beneficiaries of Puerto Rico Trust File Securities Fraud Lawsuit Seeking Over $4.5M From UBS Financial Services
:
Updated:
Morgan Stanley Fires Wealth Management Group Employee For Stealing Client Data
:
Updated:
Securities Fraud News: SEC Charges NY Firm With Stealing Investor Funds, Stock Promoter Accused of Bilking Clients Over Twitter, Facebook Pre-IPO Shares, and NY Lawyer Under Fire for Alleged Ponzi Scam
:
Updated:
Avon, Bruker Corp. Face FCPA Charges by the SEC
:
Updated:
Financial Firm News: NH Regulator Fines Merrill Lynch $400K for Telemarketing Compliance Shortfalls, Court Orders Vasquez Global Investments to Pay More Than $1.3M for Commodity Pool Fraud, and FINRA Sanctions Monex Securities Inc.
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Standard & Poor’s on the Verge of Civil Settlement Over Real-Estate Bond Ratings, Reports WSJ
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Updated:
NASAA Wants Life Partners Held Accountable for Texas Securities Act Violations
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Updated:
Credit Suisse Ordered to Face $10B Mortgage-Backed Securities Fraud Lawsuit by NY AG
:
Updated:
Exchange-Traded Fund Strategist F-Squared to Pay $35M to Settle Charges that It Misled Investors
:
Updated:
MF Global Holdings Ordered to Pay $100M Settlement to CFTC
:
Updated:
FINRA Orders Wells Fargo Units to Pay $1.5M For Anti-Money Laundering-Related Lapses
:
Updated:
Ex-Edward Jones Financial Adviser is Criminally Charged with Bilking Disabled Woman of Over $160K
:
Updated:
WGF Investments, Deutsche Bank Securities, Royal Bank of Canada Subject to Fines for Securities Violations and Misconduct
:
Updated:
Investors Name Icon Investments in Securities Arbitration Claims
:
Updated:
Credit Suisse Ordered to Pay $40M Verdict to Highland Capital
:
Updated:
UBS To Nominate Executive from BlueMountain Hedge Fund That Challenged Puerto Rico Law on Debt Restructuring to Its Board
:
Updated:
Whistleblower Earns $57M Payout in Second Lawsuit Against Bank of America
:
Updated:
FINRA Orders Merrill Lynch to Pay $2.4M in Fine, Restitution for Hundreds of Securities Transactions That Violated Fair Price Guidelines
:
Updated:
Moody’s Reduces American Realty Capital Properties Credit Rating to Junk Status, REIT’s Founder Nicholas Schorsch Steps Down
:
Updated:
Reliance Financial Advisors, Owners Face SEC Fraud Charges Involving Hedge Fund
:
Updated:
Atlas Energy’s Oil and Gas Private Placement May Not Be Such a Good Investment for Outside Investors
:
Updated:
Morgan Stanley Fined $4M by the SEC for Market Access Rule Violation
:
Updated:
Citigroup, Credit Suisse, Deutsche Bank, Merrill Lynch, & Other Firms Ordered by FINRA to Pay $43.5M Over Activities Related to Toys “R” Us IPO
:
Updated:
SEC Headlines: Regulator Probes Oppenheimer Executive, Prepares Insider Trading Case Against Policy Research Firm, & Wants to Suspend Standard & Poor’s From Rating CMBSs
:
Updated:
Ex-Ameriprise Manager Who Helped with SAC Capital Insider Trading Case Settles Charges Against Her
:
Updated:
Ex-California Insurer Charged with Running $11M Ponzi Scam
:
Updated:
Goldman Sachs Must Pay $7.6M to Two Brokers for Wrongful Termination
:
Updated:
CFTC, FINRA, and SEC Fight Investor Fraud Together
:
Updated:
Madoff Ponzi Scam Victims Recover Over $10 Billion
:
Updated:
Money Manager Paul Greenwood Gets 10 Years in Prison for $1.3B Investment Fraud
:
Updated:
Judge Orders Texas-Based Life Partners Holdings Inc., Two Executives to Pay $46.9M Over Securities Filings
:
Updated:
SEC Claims Fraud Involving a REIT and Bogus Senior Resident Occupants
:
Updated:
SEC Files Charges Against Former Broker-Dealer Owner Over Fraudulent Stock Sales
:
Updated:
SEC Commissioner Wants Elder Fraud at Top of 2015 Agenda
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Updated:
Citigroup Global Markets Ordered by FINRA to Pay $15M Fine for Supervisory Failures Involving Equity Research, IPO Roadshows
:
Updated:
Securities Fraud Headlines: ConvergEx Group Subsidiary Gets Criminal Sentence for Fraud, Ohio Man Gets Prison Term for Scam, Two Men Face Charges Over Predictive Software, and Fund Manager Admits to $17M Ponzi Scam
:
Updated:
Wells Fargo Sued Over Allegedly Biased Lending in Chicago
:
Updated:
Unregistered Florida-Based Broker Charged with Securities Fraud
:
Updated:
Goldman Sachs, HSBC Sued For Manipulating Precious Metal Prices
:
Updated:
HSBC to Pay $12.5M Settlement to SEC Over Charges That It Violated Securities Laws
:
Updated:
FINRA Orders Houston-Based USCA Capital Advisors LLC to Pay $3.8M to 19 ExxonMobil Retirees
:
Updated:
SEC Enforcement: Wedbush Settles SEC Probe for $2.4M, High-Frequency Trading Firm Gets $16M Penalty, and the Regulator Suspends Companies Touting Ebola Treatment
:
Updated:
SEC Issues 2014 Whistleblower Program Report
:
Updated:
RBS Must Pay $88M to UK Regulators
:
Updated:
SEC Working on Mutual Fund Regulations, Conducts Dark Pool Probes, Enacts New Exchange Rules
:
Updated:
Insider Trading Roundup: Ex-Broker Pleads Guilty to Securities Fraud Involving IBM Acquisition, BNP Officials Are Under Scrutiny, and Ex-Billionaire Is Tried In Historic Brazilian Case
:
Updated:
Puerto Rico’s Prepa Sees 219% Rise in Overdue Accounts With At Least $1.75 Billion Owed
:
Updated:
Bank of Tokyo Mitsubishi Ordered By NY Regulators to Pay Another $315M in Penalties Over Transactions Involving Sanctioned Nations
:
Updated:
SEC Wants $602M Fund Set Up for Victims of SAC Capital’s Insider Trading
:
Updated:
NASAA Identifies Investments Most Likely to Cause Harm in 2015
:
Updated:
$13B JPMorgan Chase Mortgage Settlement Was Not Sufficient, Says Whistleblower
:
Updated:
Citigroup, Bank of America Are Selling Soured Home Loans, Sources tell Bloomberg
:
Updated:
Fidelity, Schwab, and Pershing Suspend Trading of Schorsch Nontraded Real Estate Investment Trusts
:
Updated:
Citibank, JPMorgan Among Firms to Pay $4.3B For Currency Rigging Penalties
:
Updated:
Survey by FINRA Shows Investors Want More Regulatory Protections
:
Updated:
Two Former Merrill Lynch Brokers Contend with Unauthorized Trading Claims
:
Updated:
SEC Files Charges in Massachusetts Pump-And-Dump Scam, International Microcap Fraud, and Issues Investor Alert
:
Updated:
AIG Advisor Group, Securities America, LPL Financial, Cambridge, And Even Schorsch’s Broker-Dealer Stops Selling His REITs
:
Updated:
Detroit Suburb Charged with Muni Bond Fraud
:
Updated:
Texas Pension Fund Sues Tesco For Securities Fraud
:
Updated:
Morgan Stanley Puts Aside $50M for Clients Who Didn’t Get Prospectuses for Purchased Securities
:
Updated:
BlackRock Buys Part of UBS Puerto Rico’s Mutual Fund Operations, Say Sources
:
Updated:
DOJ Launches Criminal Probe Into JPMorgan, Citigroup Foreign Exchange Business
:
Updated:
SEC Sanctions UBS, Charles Swab, Oppenheimer, & 10 Other Firms For Improper Sales of Puerto Rico Junk Bonds
:
Updated:
National Planning Holding Temporarily Stops Selling American Reality Capital Properties’ Nontraded REIT sales After Disclosure of $23M Accounting Error
:
Updated:
Ex-LPL Financial Adviser, James Bashaw from Texas, Lands at New Brokerage Firm
:
Updated:
Shareholders Settle with Fannie Mae for $170M
:
Updated:
Investors File Close to $1B of Puerto Rico Bond Fraud Claims against UBS
:
Updated:
SEC Adds Children and Spouses of Texas Wyly Brothers to Securities Fraud Case Following $187M Verdict
:
Updated:
FINRA Fines Merrill Lynch $6M For Supervisory Failures and REG SHO Violations
:
Updated:
Investment Adviser Pleads Guilty to Involvement in $2M Cherry Picking Securities Scam
:
Updated:
European Commission Takes Action Against JPMorgan, UBS, RBS & Credit Swiss for Cartel Conduct
:
Updated:
SEC Fines E*TRADE Subsidiaries Over $1M Penalty for Unregistered Microcap Securities Sales, Puts Out Risk Alert Regarding Broker-Dealer Duties To Clients
:
Updated:
73 Swiss Banks Want the US to Modify Proposed Tax Amnesty Deals
:
Updated:
Rajaratnam Brother Settles Insider Trading Charges Involving Hedge Fund Advisory Firm Galleon Management
:
Updated:
SEC to Reject BlackRock Inc. Proposal for Nontransparent Exchange-Traded Fund
:
Updated:
During Fiscal Year 2014, SEC Files Record Number of Enforcement Actions
:
Updated:
SEC, Federal Reserve, HUD Approve Laxer Mortgage-Lending Rule
:
Updated:
Wells Fargo to Pay $5M Over Inadequate Controls, Altered Documents
:
Updated:
UBS Brokers Are Still Selling Puerto Rico Muni Bonds
:
Updated:
SEC Approves Regulations Involving REIT Prices and Arbitration Fraud Intervention
:
Updated:
SEC Wants to Bar Ex-Broker for Allegedly Misappropriating $2M
:
Updated:
Pension Fund Securities Lawsuits: JPMorgan to Face MBS Case, PERSM Files Class Action Case, & Institutional Clients Can Sue BP
:
Updated:
Ex-Ameriprise Adviser Pleads Guilty To Nearly $1M Fraud
:
Updated:
DOJ Charges Another Two Ex-Rabobank Traders Over Libor Manipulation
:
Updated:
LPL Financial Fires Texas Branch Manager Over Selling Away Claims, Settles with Senior Investors in Massachusetts for $541,000 Over Faulty Variable Annuity Switches
:
Updated:
UBS is Fined $3.6M, Plus Must Pay $1.7M in Restitution Over Puerto Rico Closed-End Mutual Fund Sales
:
Updated:
Barclays to Pay $20M To Settle Libor Manipulation
:
Updated:
Credit Suisse, Goldman Sachs, JPMorgan, and 16 Other Banks Agree to Swaps Contract Modifications to Assist Failed Firms
:
Updated:
SEC Panel Recommends Changes to Accredited Investor Definition
:
Updated:
Securities Fraud: Ex-Ameriprise Adviser to Pay $3M for Ponzi Scam, Four Insurance Agents Allegedly Defrauded Senior Investors, and Trading in Nine Penny Stocks is Suspended
:
Updated:
As SEC Examines Private-Equity Consultant Salaries, Blackstone Stops Monitoring Fees
:
Updated:
Rabobank Groep NV Suspends Currencies Traders, British Banker Pleads Guilty in Libor Probe
:
Updated:
FINRA Bars Former Raymond James Advisor for Elder Financial Fraud, Charges SWS Over Variable Annuity Supervision
:
Updated:
Former Axa Advisors Broker Faces SEC Charges Over Alleged $1.5M Ponzi Scam
:
Updated:
Citigroup Inc. Must Turn Over Bank Records Over Banamex Unit to Oklahoma Pension Fund
:
Updated:
SEC Approves FINRA Arbitration Fees, SRO Proposes Rule For CARDS
:
Updated:
Shareholder’s $40B Class Action Securities Lawsuit Over AIG Bailout Goes to Trial
:
Updated:
Texas’ Wyly Brothers Ordered to pay More than $300M In Fraud Sanctions
:
Updated:
Bank America to Pay $7.65M to SEC Over $4B Capital Error
:
Updated:
Virginia Files $1.15B Securities Lawsuit Against Citigroup, Credit Suisse, JPMorgan Chase, and Other Big Banks
:
Updated:
Resource Horizons Group’s Future Hangs in Balance Following $4M FINRA Arbitration Award
:
Updated:
SEC Investigates Pimco Exchange-Traded Fund for Artificial Inflation
:
Updated:
Barclays to Pay $15M SEC Settlement Over Compliance Failures Following Lehman Brothers Acquisition, Pays $61.7M Fine to U.K.’s FCA Over Client Asset Issues
:
Updated:
SEC News: Regulator Grants $30M Whistleblower Award and Charges Washington Investment Advisory Firm $600K for Undisclosed Principal Transaction, False Advertising
:
Updated:
T.J. Malone’s Lincolnshire Management Settles with SEC for $2.3M Over Purportedly Improper Allocations That Cost Its Funds
:
Updated:
Man to Pay $40.4M for Texas Securities Fraud Involving Bitcoin Ponzi Scam
:
Updated:
SEC News: Regulator to Review Rule Change on New Hire Background Checks, Prepares Mutual Fund Regulations, and is Defendant of Oxfam America Lawsuit
:
Updated:
FINRA Bars Ex-Wells Fargo Broker From Industry For Allegedly Bilking Customers, Expels HFP Capital Markets LLC for Securities Fraud
:
Updated:
Fed to Charge U.S. Banks with More Stringent Capital Surcharge
:
Updated:
Morgan Stanley to Pay a $280,000 Fine to CFTC for Records and Supervision Failures Involving SureInvestment and $35M Ponzi Scam
:
Updated:
Regulators Adjust Liquidity Rule for Big Banks
:
Updated:
FINRA Fines Minneapolis Broker-Dealer $1M for Inadequate Supervision of Penny Stocks
:
Updated:
FINRA Headlines: SRO Considers Revised Broker Bonus Plan, To Discuss Potential Dark Pool Rules, May Instigate Civil Action Against Wells Fargo, &Warns Investors About Frontier Markets
:
Updated:
SEC to Dismiss Lawsuit Against SIPC Over Payments to Stanford Ponzi Scam Victims
:
Updated:
Government Probe of Height Securities Into Possible Insider Trading Expands to Hedge Funds
:
Updated:
CFTC Notifies Justice Department of Criminal Rate Rigging, Looks at Possible Swaps Loophole
:
Updated:
Mortgage Transfers to Nonbanks Get Closer Regulator Scrutiny
:
Updated:
Fidelity Investments Settles Class Action Lawsuits Over 401(K) Plan for $12 million
:
Updated:
SEC Charges Immigration Attorneys with Securities Fraud Involving EB-5 Immigration investor Program
:
Updated:
Securities Lawsuit Accuses Deutsche Bank, JPMorgan Chase, Credit Suisse, and Other Banks of Manipulating ISDAfix
:
Updated:
Study Assesses How Much Investment Advisory Firms Would Pay for SEC Exams
:
Updated:
US Banks May Need $644B in Collateral Under Revised Swaps Rules
:
Updated:
Investment Advisory Firm Based in Houston, Texas Charged with Securities Fraud Involving Conflicts of Interest
:
Updated:
Texas-Based Halliburton Settles Oil Spill Lawsuit for $1.1B
:
Updated:
Bond Insurer Says Detroit Pension Debt Lawsuit is Fraudulent
:
Updated:
Former LPL Financial Broker Must Pay Almost $2 Million For Bilking Clients, Including Elderly Investors
:
Updated:
J.P. Morgan Targeted in Possible Cyber Attack
:
Updated:
SEC Subjects Credit Rating Agencies, Asset-Backed Securities Issuers to Tighter Rules
:
Updated:
MF Global Wants to Pay $925M to Creditors
:
Updated:
Citigroup Global Markets Fined $1.85M By FINRA, Must Pay $638K Restitution Over Non-Convertible Preferred Securities Transaction Valuations
:
Updated:
Goldman to Buy Back $3.15B in RMBS to Resolve FHFA Claims
:
Updated:
FINRA Claims Wedbush Securities Engaged in Supervisory and Anti-Money Laundering Violations
:
Updated:
Bank of America to Pay $16.65 Billion to Settle DOJ Mortgage Probe
:
Updated:
Securities Regulations News: SEC Looks to Delay Principal Trading Rules, FINRA Adds More Time to REIT Price Changes and 2nd Circuit Says Dodd-Frank’s Whistleblower Protections Don’t Apply Overseas
:
Updated:
Lehman Brothers’ Unsecured Creditors to Get $4.6B Payout
:
Updated:
SEC Examines Municipal Advisers and Alternative Mutual Funds, Reviews “Wrap-Fee” Accounts
:
Updated:
FINRA Investor Alert Warns About Scams Touting Ebola Cure and Other Viral Disease Stock Schemes
:
Updated:
Securities Lawsuit Against BlackRock Accuses Firm of Charging Excessive Sub-Advisor Fees
:
Updated:
SEC Files Charges in $4.5M Houston-Based Pump-and-Dump Scam
:
Updated:
SEC Charges Linkbrokers Derivatives in $18M Securities Fraud
:
Updated:
UBS Wealth, OppenheimerFunds Take Financial Hit From Puerto Rico Muni Bonds
:
Updated:
FINRA Panel Orders Morgan Stanley Unit to Pay Banamex Unit $4.5M Over Alleged Unauthorized Third Party Loans
:
Updated:
Former MIT Professor and His Son Plead Guilty to $140M Hedge Fund Fraud
:
Updated:
LPL Financial to Pay Illinois $2 Million Fine Related to Variable Annuity Exchanges
:
Updated:
Christ Church Cathedral Sues JPMorgan Chase Over Proprietary Product Sales
:
Updated:
SEC Tells J.S. Oliver Capital to Pay $15M for Alleged Cherry-Picking Scam
:
Updated:
Kansas Settles SEC Charges Over Allegations it Misled Investors about Risks in Muni Bond Offerings Totaling $273 Million
:
Updated:
Private Equity Firms, Including Blackstone, Settle ‘Club Deals’ Case with $325M Settlement
:
Updated:
Regulators Tell Deutsche Bank to Enhance Its Risk Controls and Reporting Systems
:
Updated:
SEC Wants Texas’ Wyly Brothers to Pay $750M For Securities Fraud
:
Updated:
SEC Gets Nearly $70M Judgment Against Richmond, VA Firms, CEO Find Liable for Securities Fraud
:
Updated:
Judge Rakoff Approves Citigroup’s $285M Mortgage Securities Fraud Deal with the SEC
:
Updated:
SEC Charges Ex-UBS Broker in $730K Elder Financial Fraud Ponzi Scam
:
Updated:
Argentina Defaults, Misses Interest Payment Deadline on $13B of Restructured Bonds
:
Updated:
SEC Signs Off On FINRA Rule Restricting Expungement Of Customer Complaints
:
Updated:
Bank of America’s Countrywide Must Pay $1.3B for Faulty Mortgage Loans
:
Updated:
SEC News: Ex-Harbinger COO Settles Hedge Fund Fraud Case and Regulator Files More Charges in “Solar Farm” Scam and Football-Like Boiler Room Case
:
Updated:
Deutsche Bank, UBS Are Probed Over Dark Pools & High-Frequency Trading, While An Investor Sue Barclays
:
Updated:
Lloyds Banking Group to Pay $370M Fine Over Libor Manipulation
:
Updated:
Citigroup’s LavaFlow to Pay $5M to SEC For Not Protecting Subscriber Data in ATS
:
Updated:
JPMorgan Expands Disclosures for Private-Banking Clients
:
Updated:
Lloyds Could Pay Over $500M To Settle LIBOR Rigging Allegations
:
Updated:
Investors Pursue UBS’s Puerto Rico Brokerage Over Closed-End Bond Funds
:
Updated:
Morgan Stanley to Pay $275M to Settle SEC RMBS Fraud Charges
:
Updated:
Net Asset Value of Tony Thompson’s Former Nontraded REIT Strategic Realty Trust Plunges
:
Updated:
Bank of America Settles RMBS Allegations with AIG for $650M
:
Updated:
FINRA Wants To Delay Implementing Rule Impacting Nontraded REIT Customers’ Statements
:
Updated:
Barclays and Deutsche Bank Under Scrutiny Over Barrier Options Transactions
:
Updated:
Natural Blue Resources Inc. & Microcap Stock Scammers Accused of Hiding Previous Violations
:
Updated:
FINRA May Expel Ex-Broker For $6M Hedge Fund
:
Updated:
Citigroup Settles Mortgage-Backed Securities Probe with DOJ for $7 Billion
:
Updated:
SEC Accuses California School District of Misleading Municipal Bond Investors
:
Updated:
SEC Prepares Money-Fund Rules, Will Review Alternative Mutual Funds
:
Updated:
Some Advisers Choose Alternative Investments Using Poorly Suited Benchmarks, Says Morningstar
:
Updated:
SignalPoint Asset Management to PAY SEC Fine for Breach of Fiduciary Duty
:
Updated:
Non-Traded REITs, Structured Products, and Private Placements Remain Under Regulator Scrutiny
:
Updated:
FINRA Official Says Variable Annuity Sales Top Investor Complaint List
:
Updated:
Deutsche Bank, Wells Fargo, Citigroup Sued by Pimco and Blackrock Over Trustee Roles Involving Mortgage Bonds
:
Updated:
OppenheimerFunds, Franklin Templeton Sue Over Puerto Rican Debt Law
:
Updated:
US Supreme Court Will Hear Appeal Over Libor Antitrust Claims
:
Updated:
Broker Fraud: Ex-Investors Capital Rep. is Indicted in Ponzi Scheme, Credit Suisse Sues Two Ex-Brokers Over Client Data Theft, and SEC Files More Insider Trading in IBM-SPSS Acquisition
:
Updated:
Goldman Sachs Execution & Clearing Ordered to Pay $800K FINRA Fine for Not Preventing Trade-Throughs in its Dark Pool
:
Updated:
BNP Pleads Guilty to Criminal Charges Over Sanctions Violations, Pays $8.8B Fine
:
Updated:
U.S. Supreme Court Issues Ruling in Halliburton Case Involving Fraud-On-The-Market Theory, Class Action Securities Cases
:
Updated:
Ponzi Scams: FINRA Bars Ex-Raymond James Broker Over $3M Ponzi Scam, Expels Success Trade Securities, Inc. for Bilking NFL and NBA Players
:
Updated:
NY Sues Barclays Over Alleged High Speed Trading Favors in Dark Pool
:
Updated:
SEC Stops Fraudulent Bond Offering by Chicago Suburb
:
Updated:
FINRA Arbitration Panel Orders Stifel Nicolaus to Pay $2.7M to Ex-Head Trader
:
Updated:
SEC Chairman Mary Jo White Wants Reforms Made to Bond Market
:
Updated:
Pennsylvania Private Equity Firm Settles SEC Charges Over “Pay to Play” Violations Related to Political Campaign Contributions
:
Updated:
UBS AG Under Criminal Investigation Over Puerto Rico Bond Fund Sales
:
Updated:
Bank of America Must Face SEC and Department of Justice RMBS Fraud Lawsuits, Seeks Meeting with US Attorney General
:
Updated:
Boston Investment Firm Accused of $5 Million Real Estate Investment Fraud Targeting Senior Investors
:
Updated:
DOJ Investigates Foreign-Exchange Industry Over Sales Markups
:
Updated:
Morgan Stanley Must Pay Connecticut Regulators $5M for Supervisory Violations
:
Updated:
Retirees Hurt, Brokers Enriched by $300 Billion 401(k) Rollover Boom
:
Updated:
FINRA Orders Merrill Lynch to Repay $89M in Restitution, $8M Fine for Excessive Mutual Fund Fees for Charities, Retirement Accounts
:
Updated:
NY Hedge Fund Adviser Faces SEC Charges Over Conflicted Transactions and Whistleblower Retaliation
:
Updated:
Hedge Fund Fraud News: Ex-Osiris Partners Principals Must Pay $55M, Ex-SAC Manager Gets Prison Sentence for Insider Trading, Lawyer Goes to Prison Over Rothstein Fraud, and Former New Stream Capital Executives Plead Guilty
:
Updated:
Broker Headlines: Former Wells Fargo Broker Must Pay Back Firm $1.2M, Morgan Stanley CEO Wants to Lower Broker Compensation, & Representatives Oppose Best Interest Rules
:
Updated:
JPMorgan Investment Management’s Shareholders Claim The Firm Charged Excessive Mutual Fund Fees
:
Updated:
Regulator Headlines: SEC Commissioner Stein Wants Updated Capital Rules for Brokerage Firms, FINRA’s BrokerCheck Link Proposal Faces Opposition, & CFTC Appoints New Enforcement Head
:
Updated:
Ex-ArthroCare CEO and CFO Convicted in Texas Securities Fraud Case
:
Updated:
SEC Charges Chicago Investment Advisory Founder With Real Estate Investment Fraud
:
Updated:
SEC Files Order Against New Mexico Investment Adviser Over Allegedly Secret Commissions
:
Updated:
FINRA Headlines: SRO Fines Goldman Sachs, Merrill Lynch, and Barclays Capital $1M Each & Makes Dark Pool Data Available
:
Updated:
Bank of America Could Settle Mortgage Probes for $12B
:
Updated:
SEC To Tackle High-Speed Trading, Dark Pools With New Initiatives
:
Updated:
SEC Sues Wedbush Securities and Dark Pool Operator Liquidnet Over Regulatory Violations
:
Updated:
Second Circuit Overturns Judge’s Decision to Block Citigroup’s $285M Settlement With the SEC
:
Updated:
SEC Temporarily Shuts Down Investment Adviser Over Alleged $8.8M NY Securities Fraud
:
Updated:
Massachusetts Files Lawsuit Against Fannie Mae, Freddie Mac, and FHFA
:
Updated:
SEC Charges Chicago Charter School Operator in $3.75M Bond Offering Fraud
:
Updated:
More Older Investors Are Getting Rid of Advisers and Managing Their Own Funds Online
:
Updated:
Bank Fraud Cases: Wells Fargo to Pay $62.5M Settlement Over Class Action Lawsuit & City of Los Angeles, CA Sues JPMorgan Over Discriminatory Lending Practices
:
Updated:
Wells Fargo Must Face Los Angeles’s Lawsuit Over Predatory Loans
:
Updated:
CTFC Issues Its First Whistleblower Award
:
Updated:
Stockbroker Fraud: Morgan Stanley Sues Convicted Ex-Broker, Former-Wells Fargo Broker Pleads Guilty, And Ex-John Thomas Financial Broker Evades Customer Complaints
:
Updated:
SEC Takes Action to Stop Alleged Fraud Involving Transfer Agent
:
Updated:
SEC Files Charges in Penny Stock Scams
:
Updated:
SEC Judge Bans Money Manager For Misleading Morningstar and the Public
:
Updated:
SEC Warns About Investment Scams Involving Marijuana
:
Updated:
FINRA Delays Submitting REIT Share Price Rule to the SEC, Revises Trading Surveillance System, Gets Approval to Rule Limiting Self-Trading
:
Updated:
Insider Trading Headlines: Principal of Wynnefield Capital Now On Trial, Ex-Vitamin Company Board Member Settles His Case, and Clinical Drug Trial Doctors Face Charges Related to New Cancer Drug
:
Updated:
SEC Roundup: The Regulator Charges Ex-Deloitte Chief Risk Officer with Auditor Rule Violations, Ex-Clearing Firm Officials With Regulation SHO Violations, & Rafferty Capital Markets with Illegal Trade Facilitation
:
Updated:
SEC Investigates Merrill Lynch & Charles Schwab Over Allegations of Failures that Allowed Mexican Drug Cartels to Launder Money
:
Updated:
R.P. Martin To Pay $2.2M in Libor Rigging
:
Updated:
FINRA Conducts 170 Probes Into Possible Algorithmic Abuse
:
Updated:
Man Convicted in $46M Michigan Ponzi Scam
:
Updated:
Credit Suisse to Pay $2.6B, Pleads Guilty to DOJ Charges Over U.S. Tax Evasion
:
Updated:
Insider Trading Roundup: Lawson Software Founders Pay $5.8M to Settle SEC Allegations, Three Sales Managers Face SEC Charges, and Kentucky Mayor Will Turn Over Illicit Profits
:
Updated:
California Regulators Probe Inland American Real Estate Trust REIT
:
Updated:
Prudential’s RMBS Lawsuit Against Bank of America Survives Motion to Dismiss
:
Updated:
Jury Says Wyly Brothers From Texas Committed Fraud
:
Updated:
DOJ’s Fund for Madoff Victims Has Received 51,700 Claims Worth $40B
:
Updated:
US Wants BNP Paribas to Pay Over $3.5B and Plead Guilty to Criminal Charges
:
Updated:
Puerto Rico-Based Doral Financial Expected to Default on Over $150M in Muni Bonds
:
Updated:
Goldman Sachs Under Investigation Over Hiring Practices, High-Frequency Trading
:
Updated:
Citigroup Must Contend With $1B New York CDO Lawsuit, Says Appeals Court
:
Updated:
State Senator Reprimanded For Violating the Texas Securities Act
:
Updated:
Securities Lawsuits Accuse BlackRock Of Charging Exorbitant Investment Advisor Fees
:
Updated:
FSOC Worries Crackdown on Banks is Creating New Risks
:
Updated:
Morgan Stanley Gets $5M Fine for Supervisory Failures Involving 83 IPO Shares Sales
:
Updated:
FINRA Panel Tells Ameriprise to Pay Elderly Couple $1.7M Over Unsuitable Real Estate Investments
:
Updated:
Bank of America Ordered to Hold Off Giving Back Money To Shareholders After Incorrectly Reporting $4B in Capital
:
Updated:
FINRA Takes a Closer Look at Fixed Annuity Sales
:
Updated:
SEC Files Fraud Charges Against American Pension Services and Its Founder Over $22M Investor Losses
:
Updated:
NYSE Pays $4.5M to the SEC to Settle Allegations Over Compliance Failures, Exchange Rules Violations
:
Updated:
SEC Chair White Says High-Frequency Trading Markets Not Rigged
:
Updated:
WG Trading Co. Manager Pleads Guilty To $554M Securities Scam That Targeted Institutional Investors
:
Updated:
Fidelity Investment, BlackRock, Other Asset Managers Take Issue with Plans to Expand Too Big to Fail Rules
:
Updated:
FINRA Sees 10% Rise in Arbitration Cases, Puerto Rico Bond Claims A Factor
:
Updated:
Ex-Bank of America CFO to Pay $7.5M to Settle with NY Over Merrill Lynch Acquisition Allegations
:
Updated:
Charles Schwab’s Barring of Customers from Joining Class Actions Violated FINRA Rules, Says Board of Governors
:
Updated:
Barclays Must Face Shareholder Lawsuit Over Libor Manipulation
:
Updated:
Ex-Sentinel CEO is Convicted of $500M Fraud
:
Updated:
U.S. Wants Bank of America to Pay Over $13B Over Residential Mortgage-Backed Securities
:
Updated:
Texas Man Gets 25 years in Prison for $11M Ponzi Scam
:
Updated:
Institutional Investors Sue BP for Securities Fraud
:
Updated:
The Brokerage Industry Responds to FINRA’s Broker Compensation Proposal
:
Updated:
SEC Charges Total Wealth Management With Securities Fraud, Receiving Undisclosed Kickbacks
:
Updated:
SEC Files Securities Charges Against Massachusetts Company Over Pyramid Scam that Primarily Targeted Immigrants
:
Updated:
Barclays Settles Two Libor-Related Securities Cases
:
Updated:
SEC Takes a Closer Look at Municipal Bonds
:
Updated:
FINRA Doesn’t Want Oversight Over Financial Advisers, Says CEO Ketchum
:
Updated:
SAC Capital Advisor’s $1.8B Criminal Securities Fraud Settlement with the DOJ is Accepted by a Federal Judge
:
Updated:
Large Hedge Funds Invested in Puerto Rico Bonds
:
Updated:
SEC Files Charges Over Securities Fraud Scams that Used YouTube, Facebook, Twitter, & Other Social Media
:
Updated:
SEC Says At Least 200 Private-Equity Firms Imposed Bogus Fees
:
Updated:
US Supreme Courts Broadens SOX Whistleblower Protections
:
Updated:
PNC Bank Sues Morgan Stanley & Ex-Trust Adviser For “Surreptitious Conspiracy”
:
Updated:
$550M Securities Fraud Case Between Texas’ Wyly Brothers & SEC Goes to Trial
:
Updated:
SEC Says Investment Advisors Can Publish Third-Party Endorsements Online
:
Updated:
FBI Probes Possible High-Speed Trading, Insider Trading Link
:
Updated:
Bank of America, Its Ex-CEO To Pay $25M to Settle Securities Case with NY Over Merrill Lynch Deal
:
Updated:
Bank of America Settles Mortgage Bond Claims with FHFA for $9.3B
:
Updated:
Puerto Rico Bonds Are at Record Low Prices After FINRA Announces It Is Looking At Transactions
:
Updated:
Madoff Ponzi Scam: Five Ex-Aides Convicted of Securities Fraud, Victims to Recover $349 Million
:
Updated:
Citigroup and Royal Bank of Scotland Fail Federal Stress Test
:
Updated:
LPL Financial Fined $950K by FINRA for Supervisory Failures Involving Alternative Investments
:
Updated:
Securities America Under Investigation by Pennsylvania in Nontraded REIT Probe
:
Updated:
Securities Class Action Lawsuits Don’t Help Investors Recover, Says New Study
:
Updated:
SEC To Examine Exchange Traded-Fund Regulation Again
:
Updated:
Credit Suisse to Pay $885M To Settle RMBS Fraud Lawsuit with FHFA, Continues to Face Allegations It Hid US Accounts from Internal Revenue Service
:
Updated:
SEC Fraud Charges Filed in $1.9M Microcap Stock Scalping Scam
:
Updated:
Former Morgan Stanley Broker and Two Others Allegedly Ran $5.6M Insider Trading Scam, Swallowed The Information
:
Updated:
Non-traded REITS Exhibit Unbelievable Resistance to FINRA Disclosure Rules
:
Updated:
FINRA Orders Securities America and Triad Advisers to Pay $1.2M Over Reporting Violations
:
Updated:
Will Castlight Health IPO Prove Too Costly for Investors?
:
Updated:
Variable Annuities Scam Sought to Profit From Terminally Ill Patients’ Deaths, Says SEC
:
Updated:
1 in 5 Seniors Fall Prey to Financial Fraud
:
Updated:
Ex-Goldman Trader Tourre Must Pay $825M in Securities Fraud Involving CDO Abacus 2007-AC1
:
Updated:
Jefferies LLC Settles SEC Charges for $25 Million
:
Updated:
SEC Investigates Whether Currency Traders Distorted ETF and Options Prices, Manipulated Currency Markets
:
Updated:
SEC Stops Pyramid Scam That Targeted Investors Via Twitter, Facebook, Skype, and YouTube
:
Updated:
Credit Suisse Officials Accused of Telling Staff to Ignore Due Diligence Standards, Accept Questionable Loans Involving
:
Updated:
Muni Bond Investors Pay Twice More In Commissions than When Investing in Corporate Bonds, Reports The Journal
:
Updated:
Ex-Jefferies Trader Found Guilty in Securities Fraud Case Over Bond Prices
:
Updated:
FINRA Deletes Certain Broker “Red Flags” From Records, Reports PIABA Study
:
Updated:
SEC Director Warns About Recommending Alternative Mutual Funds To Certain Investors
:
Updated:
Fines for FINRA Sanctions Went Down 27%, Reports New Analysis
:
Updated:
US Supreme Court Considers Whether to Limit Securities Fraud Lawsuits
:
Updated:
Ex-Merrill Lynch Adviser, Already Jailed for Massachusetts Securities Fraud, Now Indicted Over Ponzi Scam
:
Updated:
Detroit, MI to Pay UBS and Bank America $85M Over Interest Swaps Settlement
:
Updated:
Puerto Rico Senate Votes to Sell $3.5B in Bonds
:
Updated:
SEC Staff Sold Shares Before Enforcement Actions in Securities Cases Were Made Public, Reports Study
:
Updated:
Lehman Makes Deal with SAP Founder, Frees Up Another $1.8B for Creditors
:
Updated:
Berthel Fisher & Affiliate Fined $775K by FINRA Over Supervisory Failures Involving Non-Traded REITs and Leveraged and Inverse ETFs
:
Updated:
Morgan Stanley to Pay $275M to SEC to Settle Subprime MBS Investigation
:
Updated:
SEC Reveals Plans to Examine Never-Before-Inspected RIAs
:
Updated:
Credit Suisse Admits Wrongdoing and Will Pay $196M to Settle SEC Charges That It Provided Unregistered Services to US Customers
:
Updated:
SEC Charges Investment Banker in $950K Insider Trading Scam Involving Child Support Payments
:
Updated:
Judge Reject’s AIG’s Bid to Delay $8.5B Billion Mortgage Backed-Securities Settlement with Bank of America Corp. “Hostage”
:
Updated:
Federal Reserve Passes New Rules for Deutsche Bank, UBS, and Other Foreign Banks
:
Updated:
Mixed Securities Verdict Reached in SEC Case Against Texas-Based Life Partners Holdings
:
Updated:
Lehman Brothers Holdings’ $767M Mortgage Settlement to Freddie Mac is Approved by Judge
:
Updated:
Three Ex-Barclays Employees Charged by UK Prosecutors in Libor Rigging Scandal
:
Updated:
Hedge Funds Interested in Upcoming Puerto Rico Bond Offering Want The Territory to Borrow Money To Last Two Years
:
Updated:
SEC Charges Two Wall Street Traders With Securities Fraud in “Parking” Scam
:
Updated:
OppenheimerFunds Increases Its Exposure to Puerto Rico Debt Despite Downgrade by Moody’s, S & P, and Fitch to Junk Status
:
Updated:
FINRA Awards Nearly $1M in Florida Non-traded-REIT Cases
:
Updated:
SEC Restructures Trial Unit in an Effort to Decrease Courtroom Losses
:
Updated:
Ex-Bank of America Corp. Executive Enters Guilty Plea in Municipal Bond Rigging Scam
:
Updated:
FINRA Seeks to Limit Definition of Public Arbitrator
:
Updated:
$13B MBS Fraud Settlement Between JPMorgan and the US is Under Dispute in New Securities Lawsuit
:
Updated:
JPMorgan Will Pay $614M to US Government Over Mortgage Fraud Lawsuit
:
Updated:
How Can you Recover Your Loss on UBS Puerto Rico Municipal Bonds?
:
Updated:
Standard and Poor’s Reduces Puerto Rico Obligation Debt to Junk Status
:
Updated:
Claims Mount: UBS Loss Larger Than Reported in Puerto Rico
:
Updated:
SEC Suspends 225 Dormant Shell Companies to Prevent Pump-and-Dump Scams
:
Updated:
Morgan Stanley to Pay $1.25B in Mortgage-Backed Securities Lawsuit by FHFA
:
Updated:
SIFMA Tells Labor Department To Wait For SEC on Fiduciary Rulemaking
:
Updated:
Seniors and Retirees Suffer Massive Losses in Puerto Rico
:
Updated:
FINRA Issues Investor Alert on IRA Rollovers
:
Updated:
Bank of America’s $8.5B Mortgage Bond Settlement Gets Court Approval
:
Updated:
$11M Award Against CitiGroup is Vacated by the New York Supreme Court
:
Updated:
SEC Accuses Private Equity Manager of $9M Securities Fraud
:
Updated:
A History of UBS Bad Bets
:
Updated:
Ex-UBS Global Wealth Chief Exposed by Whistleblower Pleads Not Guilty To Tax Fraud Conspiracy
:
Updated:
Lawyers Say Electronic Communication Retention Will Lead to More Securities Enforcement Actions
:
Updated:
UBS Bet on Puerto Rico and Lost Your Money
:
Updated:
Foreign Banks Soon Expected to Abide by US Rules
:
Updated:
JP Morgan VP Barred from Securities Industry By FINRA for Insider Trading Scam
:
Updated:
Ex-Oppenheimer Fund Manager to Pay $100K To Settle Private Equity Fund Fraud Charges
:
Updated:
Madoff Ponzi Scam Victims Win Right to Appeal for Interest
:
Updated:
Family Pleads Guilty to $10M Massachusetts Ponzi Scam
:
Updated:
Goldman Sachs Must Contend with Proposed Class-Action CDO Lawsuit
:
Updated:
UBS’s Anticipated Defenses in the UBS Puerto Rico Fund Cases
:
Updated:
Detroit, MI Can’t Pay $165M to UBS & Bank of America For Swaps Deal, Rules Judge
:
Updated:
Elder Financial Fraud: One Out of Five Seniors Victimized, Reports WSJ
:
Updated:
Advisors in the Spotlight: Ex-SAC Capital’s Martoma on Trial for $276M Insider Trading Scam, Financial Industry Recruiters Say LinkedIn Hurts Their Business, & A Fugitive Bank Director Wanted for Securities Fraud is Arrested
:
Updated:
RCS Capital Corp to Buy Brokerage Firm J.P. Turner for $27 Million & Cetera Financial for $1.15B
:
Updated:
Credit Suisse Could Settle with US Over Tax Evasion Allegations for Over $800M
:
Updated:
How UBS Breached Its Duties with Puerto Rico Bond Funds
:
Updated:
Spotlight on FINRA: SRO Disciplines Brokerages That Ignore Red Flags, Warns About Retirement Plan Rollover Conflicts, & Investigates for Stock Trade Incentives
:
Updated:
The Players in the UBS Puerto Rican Bond Fraud
:
Updated:
MSRB to Implement Municipal Advisory Regulatory Framework in 2014
:
Updated:
Stifel, Nicolaus & Century Securities Must Pay More than $1M Over Inverse and Leveraged ETF Sales
:
Updated:
Securities Fraud Court Matters
:
Updated:
In Alleged $400M Texas Securities Fraud, Medical Device Maker Pays Over $30M Settlement
:
Updated:
CFTC News: Chairman Gensler Steps Down, New Co-COOs Are Appointed, & the Agency Revokes Commodity Trading Adviser’s Registration Over Fraud
:
Updated:
Billions of Dollars Have Already Been Lost by Investors in Puerto Rico Closed-End Funds that were Sold by UBS
:
Updated:
Ex-Goldman Sachs Trader Fabrice Tourre’s Request for New Civil Trial in RMBS Fraud Case is Denied
:
Updated:
SEC in Action: Finds Nomura Holdings Not Ineligible Issuer Even with Judgment, Will Consider Redrafted Shareholder Proposal Regarding Exelon, & Puts Out Regulation M, Rule 105 Violation Sanctions
:
Updated:
JPMorgan To Pay $2.6B in Penalties in Bernard Madoff Ponzi Scam Settlements
:
Updated:
RBS Securities’ Japan Unit to Pay $50M Criminal Fine Over Libor Manipulation
:
Updated:
SEC Stops Texas Securities Scam Involving Oil and Gas Investments
:
Updated:
FINRA to Go After Rogue Brokers, & Includes REITs, Municipal Bonds, & Frontier Markets Among Its Enforcement Priorities for 2014
:
Updated:
Deutsche Bank AG Settles Shareholder Lawsuit Over Mortgage Debt
:
Updated:
Barclays to Pay $3.75M FINRA Fine for E-mail Retention and Record Preservation Violations
:
Updated:
Bank of America’s Countrywide to Pay $17.3M RMBS Settlement to Massachusetts
:
Updated:
FINRA Arbitration Panel Says Wells Fargo Must Repurchase $94M of Auction-Rate Securities from Investors
:
Updated:
Wells Fargo Reaches $591 Million Mortgage Deal with Fannie Mae
:
Updated:
UBS Bank USA No Longer to Offer Loans Collateralized with Puerto Rico Securities
:
Updated:
FINRA Bars Ex-LPL Broker Over Nontraded REIT Sales
:
Updated:
FINRA Considers System That Would ‘Red Flag’ Customer Accounts at Brokerage Firms
:
Updated:
Broker to the Stars” Broker Bambi Holzer is Barred from Securities Industry by FINRA
:
Updated:
Deutsche Bank to Pay $1.9B to FHFA Over Mortgage-Backed Securities Sold to Freddie Mac and Fannie Mae
:
Updated:
Deutsche Bank, Royal Bank of Scotland Settle & Others for More than $2.3B with European Union Over Interbank Offered Rates
:
Updated:
Ex-SAC Capital Manager Steinberg is Convicted of Securities Fraud & Insider Trading
:
Updated:
FDIC Sued by JPMorgan Chase in $1B Securities Case Involving Washington Mutual Purchase & Mortgage-Backed Securities
:
Updated:
New Jersey Files Securities Lawsuit Against Credit Suisse Over $10B in MBS Sales
:
Updated:
The JOBS Act: SEC Proposes Raising Small Stock Deal Limits
:
Updated:
Ex-NFL Running Back Ricky Williams Files $6M Texas Securities Fraud Case Against His Financial Adviser
:
Updated:
The Volcker Rule May Already Be Affecting Financial Markets & The Economy
:
Updated:
Merrill Lynch Settles with SEC Over CDO Disclosures for Almost $132M
:
Updated:
Moody’s Reassessment of Puerto Rico Bonds Does Nothing to Relieve Investor Worries
:
Updated:
Fannie Mae Sues UBS, Bank of America, Credit Suisse, JPMorgan Chase, Citigroup, & Deutsche Bank, & Others for $800M Over Libor
:
Updated:
Oppenheimer Told by FINRA to Pay $675,000 Fine, $246,000 Restitution over Municipal Securities Transaction Pricing, Supervisory Violations
:
Updated:
Three Ex-GE Bankers Convicted of Municipal Bond Bid Rigging Are Set Free
:
Updated:
FINRA Orders J.P. Turner to Pay $707,559 in Exchange-Traded Fund Restitution to 84 Clients
:
Updated:
Volcker Rule is Approved by SEC, FDIC, Federal Reserve, CFTC, and OCC
:
Updated:
Puerto Rico Reportedly Among Those that Engaged in “Scoop & Toss” Tactic with Municipal Bonds
:
Updated:
SEC Considers Imposing Proxy Adviser Rules
:
Updated:
Two Ex-JPMorgan Brokers Alleged Bilked Mentally Impaired Elderly Widow of $300,000
:
Updated:
SIFMA, ISDA, and IIB Sue CFTC Over Alleged Unlawful Rulemaking Regarding Cross-Border Rules, Swap Regulations
:
Updated:
Broker-Dealer National Planning to Pay $6.2M FINRA Arbitration Award to Two Minnesota Investors Over REITs
:
Updated:
Lawyers, Investor Advocates Want to Know More About SEC Supervision Of FINRA’s Arbitrator Selections
:
Updated:
For Investors, Closed-End Funds Come with Risks
:
Updated:
CFTC in Action: Agency Adopts Rules on SIDCOs, Reissues Relief for Contemporaneous Swaps Documentation Requirements, & Its Chair Gensler Praises Swaps Markets
:
Updated:
Texas Securities Fraud: SEC Accuses Two Houston-Based Advisory Firms of Making Thousands of Transactions That Clients Didn’t Know About
:
Updated:
US Hedge Fund Industry is Worried About Tax Implications Under EU Directive
:
Updated:
MF Global to Pay $1.2B to Customers
:
Updated:
High Commission Products are Wall Street Favorites
:
Updated:
$3.8M Colorado Securities Scam Defrauded Over 40 Elderly Seniors
:
Updated:
CommonWealth REIT Shareholders Gets New Vote on Whether to Oust Its Board
:
Updated:
Puerto Rico Paid Wall Street Securities Firms $1.4B in $61B of Bond Sales
:
Updated:
FINRA Bars Broker Accused of Selling Over $18M in Fraudulent Promissory Notes to NBA, NFL Athletes, & Others
:
Updated:
Municipal Bond News : SEC Offers Small Entity Compliance Guide, MSRB Puts Out Video on Issuance Process, CFTC Offers SEF Regulatory Guidance, & Lawmakers Consider SIPC Reforms
:
Updated:
RBS Securities Inc. Settles SEC’s Subprime RMBS Lawsuit for $150M
:
Updated:
US Senator Elizabeth Wants Obama Administration to Break Up Our Biggest Banks
:
Updated:
JPMorgan and the DOJ Finalize Their $13 Billion Settlement
:
Updated:
Supreme Court to Hear Texas-Based Halliburton’s Class Action Securities Fraud Case Again
:
Updated:
CFTC Votes to Restrict Commodities Trader’ Position Sizes in the Market
:
Updated:
SEC Goes After Alleged Ponzi Scammers
:
Updated:
Hedge Funds Are Moving in on Municipal Debt, Including Puerto Rico Debt
:
Updated:
Securities Whistleblower Roundup: Retaliation Lawsuit Against Thompson Reuters Gets Go Ahead & SEC Issues Its Sixth Bounty Award
:
Updated:
JPMorgan and Institutional Investors Agree to $4.5B Mortgage-Backed Securities Settlement
:
Updated:
SROs at Work: MSRB Prioritizes Fiduciary Duty When Setting Up New Muni Advisor Regime & FINRA Puts Out Closed-End Funds Alert to Investors
:
Updated:
SEC Members Discuss Agency’s Core Mission, New Penalty Policy, and Private Offerings in the Wake of General Solicitation
:
Updated:
Advice to Advisors: Financial Advisors Taught Ways to Avoid SEC Scrutiny
:
Updated:
SEC May Propose New Swaps Margins & Title VII Rules
:
Updated:
AIG Settles Ex-Executive’s $274M Lawsuit Over Alleged Failure to Pay Him During 2008 Economic Crisis
:
Updated:
ICE CEO Says US Equity Markets Lets Traders Advantage of Small Investors
:
Updated:
Lawmakers & Industry Folk Address the DOL Amending the Definition of Fiduciary, Reg A Plus Offerings, Oversight, Rogue Brokers, and Expungement Rules
:
Updated:
Why did UBS Financial Advisors Recommend Puerto Rico Muni Bonds to Elderly and Retired Investors?
:
Updated:
Judge Dismisses Shareholder Lawsuit Suing Bank of America For Allegedly Concealing AIG Fraud Case
:
Updated:
Two Investment Advisers Sue Twitter for Secondary Market Fraud
:
Updated:
SAC Capital Advisors to Pay $1.2B Penalty, Pleads Guilty to Insider Trading Violations
:
Updated:
JPMorgan’s Admission to CFTC of “Reckless” Trading Could Lead to More Securities Fraud Cases
:
Updated:
Texas Jury Clears Billionaire Mark Cuban of Insider Trading Charges
:
Updated:
SAC Capital Advisors LP Expected to Plead Guilty to Insider Trading Criminal Charges
:
Updated:
Are Alternative Investments Good for Investors?
:
Updated:
SEC Sanctions Three Investment Advisory Firms for Custody Rule Violations
:
Updated:
Massachusetts Securities Regulators Fine Merrill Lynch $500,000 For Alleged Failure to Stop Rogue Broker
:
Updated:
Is JPMorgan on the Verge of Settling A $5.75 Billion Mortgage-Backed Securities Case Filed by BlackRock & Neuberger Berman Group?
:
Updated:
J.P. Morgan’s $13B Residential Mortgage-Backed Securities Deal with the DOJ Stumbles Into Obstacles
:
Updated:
Puerto Rican Labor Groups Want the US Territory to Sue UBS over the Bond Debacle
:
Updated:
Merrill Lynch, Morgan Stanley Call A Broker Recruiting Truce
:
Updated:
FINRA Arbitration Panel Issues $1.2M in Awards in Case Against BBVA Securities of Puerto Rico, Inc.
:
Updated:
SEC Wants Comments About FINRA’s Proposed Rules About Broker-Dealer Supervision
:
Updated:
North American Securities Administrators Association Releases 2013 List of Top Threats to Investors
:
Updated:
US Supreme Court Hears Oral Argument on the Impact of SLUSA on the Stanford Ponzi Scams
:
Updated:
SEC Looking to Simplify Disclosure Rules to Minimize “Information Overload” for Investors
:
Updated:
Puerto Rican Bond Crisis Places Oppenheimer Funds at Risk
:
Updated:
Massachusetts Regulator Makes Puerto Rican Municipal Debt-Related Inquiries to UBS, FIdelity, and Oppenheimer
:
Updated:
SEC Officers Guidance on Liability and Compliance for Brokerage Firms
:
Updated:
US Treasury Doesn’t Intend to Provide Aid Over Puerto Rico Bond Fund Debacle, Says Spokesperson
:
Updated:
Puerto Rico Municipal Bonds
:
Updated:
Muni Bond Funds Hit by Puerto Rico’s Debt Problems
:
Updated:
FINRA Considers Making Broker-Dealers Carry Insurance Covering Arbitration Payments
:
Updated:
FINRA Arbitration Panel Awards Ex-Wedbush Securities Broker $4.2M Against the Firm
:
Updated:
UBS Faces Legal Battle Over Failing Puerto Rico Bond Funds with Local Investors
:
Updated:
$5M Texas-Based Securities Fraud Scam Pursued Foreign Investors Wanting US Residency Via EB-5 Program
:
Updated:
FINRA Accuses John Carris Investments of Pump-and-Dump Scam
:
Updated:
NCUA Sues Morgan Stanley, JPMorgan, UBS, & Other Banks Over $2.7B in Allegedly Fraudulent RMBS Sales to Credit Unions
:
Updated:
Groupon Loses Dismissal Bid Over IPO Securities Fraud Case
:
Updated:
JPMorgan Considers $11B Mortgage-Backed Securities Settlement
:
Updated:
Massachusetts AG Investigates JPMorgan’s Debt-Collection Practices
:
Updated:
Texas Man gets 40-Year Prison Sentence for Phony Annuity Scam That Targeted Elderly Women
:
Updated:
SEC Lifts Ban on General Solicitation
:
Updated:
FINRA Broker Bonus Plan Would Require Brokers to Disclose Their Recruitment Compensation
:
Updated:
FINRA Suspends and Fines GlobaLink Securities Principal
:
Updated:
JPMorgan to Pay $920M to Settle London Whale Debacle & $80M Over Credit-Card Practice Allegations
:
Updated:
Imperial Petroleum Charged by SEC with Defrauding Investors
:
Updated:
FINRA Arbitration Panel Orders Citigroup to Pay Senior Investor Couple $3.1M for Alleged Broker Fraud Related to “Selling Away” Practice
:
Updated:
JPMorgan Could Settle “London Whale” Fiasco for $800M
:
Updated:
SEC Charges ACI Capital Group Owner with New York Securities Fraud
:
Updated:
Broker Gets 1-Year Suspension From FINRA Over Inadequate Due Diligence and Supervision
:
Updated:
Registered Representatives Get FINRA Bar Following Securities Fraud Allegations
:
Updated:
Foremost Trading LLC Must Pay $400K to CFTC for Supervisory Violations
:
Updated:
VSR Financial Services Agrees to Pay FINRA $550,000 Fine Over Inadequate Supervision Allegations Involving Non-Conventional Investments
:
Updated:
FINRA Fines Santander Investment Securities Inc. $350,000 For Not Supervising Foreign Fund Offerings
:
Updated:
Five Years After Lehman’s Bankruptcy, How is the US Financial System Doing Now?
:
Updated:
Many Financial Fraud Victims Don’t See It Coming, Says Survey
:
Updated:
Morgan Keegan to Pay $60,000 Fine Over Inadequate Supervision Over SBA Pools and Sales
:
Updated:
NEXT Financial Group Gets $250,000 FINRA Fine Over E-Mail Violations
:
Updated:
Securities America & Ameriprise Among Independent Broker-Dealers Charged $10.75M by Massachusetts for Non-traded REIT Sales
:
Updated:
FINRA Fines Expected to Drop 41% in 2013
:
Updated:
SEC Votes to Amend Broker-Dealer Financial Responsibility Rules
:
Updated:
NCUA Accuses Morgan Stanley Of $556M Mortgage-Backed Securities Fraud
:
Updated:
Securities Headlines: UBS to Pay $4.5M Over Unregistered Assistants, $6M Ponzi Scam Allegedly Funded Reality Show, & Cherry Picking Allegations Lead to SEC Charges
:
Updated:
Securities and Exchange Commission Report: Enforcement Division & OCIE Collaborate, Broker-Registration in Private Funds, Conflict Minerals Regulation, Short Sale Rules, and New Commissioner Confirmations
:
Updated:
NY AG’s ARS Lawsuit Against Charles Schwab & Co. is Revived by Appeals Court
:
Updated:
JPMorgan Found Liable in Billionaire’s Subprime Mortgage Lawsuit for Over $50M in Damages
:
Updated:
Lloyds, Barclays, to Set Aside Hundreds of Millions of Dollars for Allegedly Mis-Selling to Victims
:
Updated:
FINRA Enhances Its Arbitrator Vetting Policy
:
Updated:
Regulatory Reform: Delay or Destruction?
:
Updated:
Financial Firms In The Spotlight: Raymond James Gives RIA’s Access to Alternative Investments, Citigroup’s $730M Bondholder Settlement is Approved, JPMorgan Deals with China-Related Hirings Inquiry, & Merrill Lynch’s Future as an Entity is Uncertain
:
Updated:
Ex-JPMorgan Traders Get Criminal Charges Over the Allegedly Fraudulently Inflating Investments’ Value to Hide Massive Trading Losses
:
Updated:
US DOJ To Bring Charges Against Those Accountable for 2008 Financial Crisis
:
Updated:
FINRA NEWS: Goldman Sachs Appeals Vacating of Securities Award, Non-Customers of Brokerage Firm Can’t Compel Arbitration, & Three Governors Named To FINRA Board
:
Updated:
Attorney Generals Want Securities Cases Against Standard Poor’s To Go Back to State Courts
:
Updated:
LPL Financial Places Independent Reps Under Supervision
:
Updated:
Harbinger Capital and Hedge Fund Adviser Philip Falcone To Settle SEC Fraud Charges by Paying Over $18M and Admitting Wrongdoing
:
Updated:
AIG Shuts Down Customers’ Bank Accounts in the Wake of Dodd-Frank Limits
:
Updated:
New York Subpoenas 22 Digital-Currency Companies and Investors Over Bitcoin
:
Updated:
SEC and DOJ Sue Bank of America Over Alleged $850M RMBS Fraud
:
Updated:
Two Investors’ Securities Fraud Lawsuit Against SEC Over Stanford Ponzi Scam is Dismissed
:
Updated:
Bank of America, JPMorgan Chase Among Banks Sued by Danish Pension Funds in Credit Default Swaps Lawsuit
:
Updated:
Professional Athletes, Celebrities Often Targeted for Securities Fraud
:
Updated:
Mortgage REITs See a Slump
:
Updated:
SEC Stops Former Marine’s Hedge Fund Fraud That Targeted Military Folk
:
Updated:
AIG Sued by Nuveen Funds For Securities Fraud
:
Updated:
Investors Claim They Lost $300M in Ohio Ponzi Fraud Lawsuit
:
Updated:
US Will Likely Arrest Two Ex-JPMorgan Chase Employees Over Trading Losses Related to the London Whale Debacle
:
Updated:
Judge Approves Creditor Vote on Jefferson County, Alabama’s Bankruptcy Plan
:
Updated:
SEC Adopts Rules to Protect Investors that Have Brokerage Firm-Held Assets
:
Updated:
Citigroup Must Pay $11M Claimant for Royal Bank of Scotland Investment Losses, Says FINRA Arbitration Panel
:
Updated:
Texas Money Manager Sued by SEC and CFTC Over Alleged Forex Trading Scam
:
Updated:
Liquidators of Bear Stearns Hedge Funds Sue S & P, Moody’s and Fitch for $1.12B
:
Updated:
Oppenheimer & Co. to Pay $1.4M to FINRA For Allegedly Unregistered Penny Stock Sale & Anti-Money Laundering Violations
:
Updated:
Spotlight on the SEC: Regulator Sues China Entities for Fraud and Votes to Turn Down Falcone-Related Securities Settlements
:
Updated:
GAO Wants SEC to Look At Other Criteria for Who Qualifies As An Accredited Investor
:
Updated:
Morgan Stanley to Pay New Jersey Regulators $100K for Selling Exotic ETFs to Investors, Including Seniors
:
Updated:
Investor Sues Berthel Fisher Over TNP 2008 Participating Notes Program LLC
:
Updated:
Both Sides Rest in Ex-Goldman Sachs Bond Trader Fabrice Tourre’s Trial For Alleged Mortgage-Backed Securities Fraud
:
Updated:
Texas Securities Case: SEC Alleges Ponzi Scam Involving Virtual Currency Bitcoin
:
Updated:
Thornes & Associates Inc. Investment Securities’ Head Gets Industry Bar for “Lending” $4.2M of His Clients’ Assets to Friends
:
Updated:
UBS to Pay Fannie Mae and Freddie Mac $885M to Settle RMBS Lawsuit
:
Updated:
FINRA Reports Losses After Squandering Profit From NYSE Payment
:
Updated:
DOJ’s $5B Securities Lawsuit Against Standard & Poor’s Can Proceed, Says Judge
:
Updated:
SEC Charges SAC Capital Hedge Fund Adviser Stephen Cohen With Failure to Stop Insider Trading
:
Updated:
Nontraded REIT News: Securities America Stops Selling American Realty Capital Trust V and Advisor Group Ends Selling Deal with Cole Holding
:
Updated:
Detroit Becomes Largest US City to File Bankruptcy Protection
:
Updated:
Highland Capital Sues Credit Suisse For $350M Over Resort Loans
:
Updated:
Insurance Companies Experiencing Sellers’ Regret Over Variable Annuities
:
Updated:
Financial Firms Update: Morgan Stanley Now Owns Smith Barney, Wells Fargo & JPMorgan Defeat Estimates, MLB All-Star Sues UBS for $7.6M, & Ray Lucia, His Firm Fined Over “Buckets of Money” Strategy
:
Updated:
The 21st Century Glass-Steagall Act Seeks to Separate Investment and Commercial Banking Again
:
Updated:
Securities Headlines: Court Says SLUSA Precludes JPMorgan Mutual Fund Practices, Provident Royalties Ex-Executives to Pay $2.3M, & Two Securities America Advisers Are Rehired
:
Updated:
Texas Judge Throws Out Verizon Retirees’ Class Action Lawsuit Over $8.4B Pension Sales to Prudential
:
Updated:
JPMorgan Received Asset Management Conflicts Warning from OCC in 2012
:
Updated:
UBS, Morgan Stanley, Merrill Lynch, and Other Brokerage Firms Subpoenaed by Massachusetts Securities Regulator in Probe of Complex Investments Sold to Seniors
:
Updated:
Securities Case Over Insuring The $160M in Disgorgement Paid to the SEC Goes Back to Trial Court
:
Updated:
Mandatory Securities Arbitration vs. Court? The Debate Rages Past the Quarter-Century Mark
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Updated:
District Judge Not Inclined to Toss $5B Securities Fraud Case Against Standard & Poor’s
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Texas Securities Fraud?: Death of Private Wealth Manager with Invesco Ltd. Reveals that Millions of Dollars May Be Missing
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Updated:
Financial Firms in the Headlines: UBS Charges Financial Planning Fees, MF Global Customers Seek to Cap Ex-Leaders’ Legal Defense Expenses, Ex-Thompson REIT CFO is Suspended
:
Updated:
Sonoma County Files Securities Lawsuit Over Libor Banking Debacle
:
Updated:
FINRA Delays Audit Trail Plan, Proposes Arbitration Rule Changes, Asks for Firm’s Social Media Use Data, Warns About Cybersecurity Breaches
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Updated:
Lawmakers Address Securities Bills Regarding Audit Rotation Requirements, Dodd-Frank, M & A Business Broker Registration, & Senior Fraud
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Updated:
SEC Focuses More Attention On Accounting Fraud, Variable Annuities, & Market-Maker Risk
:
Updated:
SEC Tells Financial Firms That Settling Without Denying or Admitting to Wrongdoing is No Longer Allowed in Certain Securities Cases
:
Updated:
Financial Firms Securities News: Bear Stearns Can Bid for $160M Insurance Coverage, Deloitte Pays NY $10M, Fraud Sentences Against Two Ex-Brokers Are Affirmed
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Updated:
Cayman Islands LLC Must Replead CLO Securities Case Against Deutsche Bank
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Updated:
Courts Nationwide Dismiss More Securities Actions: Madoff Trustee’s Case, Equinox Investor’s Class Lawsuit, K-Sea Transportation Litigation, & Shareholder Derivative Complaint is Thrown Out
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Updated:
Securities Lending Trial Against Wells Fargo & Co. is Underway
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Updated:
“Ask and It Shall Be Received”: Securities Brokers Can Wipe Complaints and Even Legal Claims Off Their Public Records
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Updated:
LPL Securities Names Ex-SEC Official As Its New General Counsel
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Updated:
Former Millennium Global Investments Portfolio Manager Accused of Fraud Involving Nigerian Sovereign Debt Markups
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Updated:
Former Broker Claims He is the Reason FINRA’s Regional Director Resigned, While Ex-JP Morgan Broker Files Arbitration Claim Against His Former Employer
:
Updated:
SEC Risk Fin Director Wants Public Input About Investor Protection-Related Costs and Benefits
:
Updated:
Radio Host Dave Ramsey and Financial Advisers Get Into Twitter Fight
:
Updated:
Brokerage Firms Change Hands as Insurers Divest In House Securities Firms, While REIT Manager Schorsch Buys First Allied Securities
:
Updated:
CBOE Will Pay $6M Penalty Over SEC Charges Alleging Failure to Enforce Trading Rules
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Updated:
Muni Bonds Draw Investors But Come With Serious Risks
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As Their Prices Hit a 2-Year Low, Gold ETFs Liquidate En Masse
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Updated:
Texas Federal Agents Pursue Largest Forfeiture Cases To Date
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Financial Firm Roundup: Citigroup Settles $3.5B MBS Lawsuit with FHFA, JPMorgan Unit Fined $4.64M, Court Won’t Dismiss USB Whistleblower’s Action, & Ex-Goldman Sachs Executive to Pay $100K Over Pay-To-Play Scam
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Securities Criminal Roundup: Mail Fraud Charges Against Investment Company Owner, Ex-Bank of the Commonwealth Execs Convicted, Broker’s Elder Financial Fraud Sentence is Affirmed, and Ex-Fund President Goes to Prison for Ponzi Scam
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Updated:
FINRA Headlines: New ATSs Sweep Letters Issued, SRO to Provide Surveillance for Direct Edge Market Exchanges, Court Says Ex-AP of Defunct Member Firm Can Enforce Arbitration Pact, & Madoff Feeder Funds Are Not Required to Arbitrate Claims Against KPMG
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AIG Drops RMBS Lawsuit Against New York Fed, Fights Bank of America’s $8.5B MBS Settlement
:
Updated:
FINRA Orders Wells Fargo & Banc of America’s Merrill Lynch Ordered to Pay $5.1M for Floating-Rate Bank Loan Funds Sales
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Updated:
Synthetic CDOs Once Are Once Again In Demand Among Investors
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Updated:
Stock Trader Faces Front Running Charges In Alleged $1.7M Texas Securities Fraud
:
Updated:
Morgan Stanley Unveils Trade Flow Insights Product to Give Brokers Better Sales Data
:
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Former SEC Commissioner Wants SEC Shareholder Proposal Process Revamped
:
Updated:
FINRA Chief Ketchum Calls for Brokers To Better Inform Investors of Fixed Income, Structured Product Risks
:
Updated:
Senate Measure Seeks to Exempt Banks for Having to Register with the SEC As Municipal Advisors & House Bill Looks to Enhance Public Pension Plans’ Disclosures
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SEC Charges Ex-LPL Financial Adviser With Defrauding Investors of $2M
:
Updated:
NASAA President Pushes for State Regulation of “Reg A Plus” and for Private Lawsuits Over Small Offerings
:
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Investor in Goldman Sachs Special Opportunities Fund 2006 to Get $2.5M FINRA Arbitration Award For Allegedly Unsuitable Investment
:
Updated:
Berthel Fisher, VSR Financial Services, & Cetera Financial Modify the Way They Sell Nontraded REITs and Other Alternative Instruments
:
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SEC Securities Policy Roundup: Neither Admit, Nor Deny Policy, Pursuit of Injunctions for Misconduct, and SRO Oversight Get Closer Scrutiny
:
Updated:
FINRA Orders LPL Financial to Pay $7.5M Over Allegedly Inadequate Supervision of E-Mails
:
Updated:
Ameriprise Financial, Securities America, & Three Other Brokerage Firms Reach $9.6M Non-Traded REIT Securities Settlement with Massachusetts Financial Regulator
:
Updated:
LPL Financial Ordered to Pay $7.5M FINRA Fine Over E-Mail Failures
:
Updated:
Texas Securities Roundup: $10M Ponzi Scheme, Foreign Note Sale Fraud, Promissory Note Scam, and Money Laundering Lead to Indictments, Criminal Sentences
:
Updated:
Dismissal of $44M International Boiler Room Scam Claims Raises Issue of SEC Extraterritorial Enforcement Authority
:
Updated:
Ex-NY Governors Pataki and Cuomo Tell AG Schneiderman to Ease Off On Former AIG Head
:
Updated:
Morgan Stanley Hit with $5 Million Securities Fraud Lawsuit Involving Alleged Superannual Account Losses Related to Risky Option Trading
:
Updated:
Number of Banks At Risk of Failing Goes Down
:
Updated:
California AG Files Lawsuit Against JP Morgan Chase Alleging Debt Collection Abuse Over 100,000 Credit Card Cases
:
Updated:
Hedge Fund Manager Philip Falcone Consents to $18M Securities Fraud Settlement
:
Updated:
FINRA Securities Activities: SRO Withdraws Proposal to Make Financial Firms Link to BrokerCheck, Gets Request from SIFMA to Modify ‘Inability to Pay’ Rule, and Says Broker-Dealers Can Give Investors PIP Data About ETPs
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Updated:
SEC Sues Traders Over Alleged Scam Involving Bribe Paid to Venezuelan Official to Get Bond Trading Business
:
Updated:
Two Men Sentenced in Texas Securities Case Involving $30 Million Promissory Note Fraud that Bilked Investors Via Ponzi Scam
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Updated:
SEC Roundup: Regulator Addresses CDS Portfolio Margin Program & Ex-Commission Officials Want DC Circuit to Grant SIPC Protection to Stanford Ponzi Scam Victims
:
Updated:
Wells Fargo Settles Securities Lawsuit Over Medical Capital Holdings Ponzi Scam for $105M
:
Updated:
$500M MBS Settlement Reached Between Countrywide and Investors
:
Updated:
Lawmakers Tackle Investment and Securities Matters
:
Updated:
Merrill Lynch Settles New Jersey Securities Fraud Lawsuit over State’s Stock Purchase for $45 Million
:
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Standard & Poor’s Seeks Dismissal of DOJ Securities Fraud Lawsuit Over RMBS and CDO Ratings Issued During the Financial Crisis
:
Updated:
Gemstar Capital Group Owner Sued for Texas Securities Fraud in $40 Ponzi Scam He Ran with Ex-Dallas Cowboy Football Player Gets 10-Year Prison Sentence
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Updated:
Ex-Employer Wants Would-Be Whistleblower’s Appeal Dismissed In Light of the US Supreme Court’s Ruling Over Alien Tort Statute Claims
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Updated:
FINRA Notifies Brokerage Firms About Non-traded REIT Information that Can Mislead Investors
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Updated:
Investor Files Securities Case Against Fidelity Over Float Income Investments Involving 401(K)s
:
Updated:
Congress Regulates the Securities Regulators
:
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State Courts Securities Litigation: Va. County Can Sue Over Bond Offering Advice, Plaintiff’s Breach Claim Against Brother to Go to Jury, & Ruling Affirms that Investment Bank’s Offer to Buy Minority Shares Triggered Company’s First Refusal Rights
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SEC Accuses Victorville, CA, Underwriter, and Others of Municipal Bond Fraud
:
Updated:
Controversial Democratic Appointee Pushes SEC for Less Talk About Investor and Securities Market Protections and More Action
:
Updated:
FINRA Plan May Dramatically Change The Way Brokerage Firms Report On Nontraded REITS & Other Illiquid Investments on Client Statements
:
Updated:
Just Because Supreme Court’s Rulings in Amgen and Halliburton Give Defendants Less Tools to Beat Weak Class Certifications But Doesn’t Mean Plaintiffs Can Rest Easy
:
Updated:
MF Global Holdings Bankruptcy Trustee Files Lawsuit Against Ex-CEO Corzine and Other Former Executives
:
Updated:
Investors Duped in $150M Investment Scam Offering US Citizenship Prospect To Recoup Funds, Says SEC
:
Updated:
Police Retirement System of St. Louis Also Suing JPMorgan Chase Executives Over “London Whale” Scandal
:
Updated:
Three Cedar Brook Financial Partners Brokers’ Licenses Are Suspended Over Allegedly False & Misleading Statements About Subprime Mortgage-Backed Security IMH Fund and Medical Capital Holdings Inc.
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Updated:
Standard Poors Wants DOJ’s Mortgage Debt Lawsuit Against It Tossed
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Updated:
New Hampshire Regulators Accuse Edward Jones of “Questionable Marketing” to Recruit Customers
:
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Lehman Brothers Australia Wants Federal Court to Approve $248M Settlement Payment Plan to Creditors
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Updated:
NBA, NFL Players Among Alleged Promissory Note Fraud Victims of Success Trade Securities, Says FINRA
:
Updated:
SEC Commissioner Aguilar Calls For the Abolishment of Mandatory Arbitration Agreements
:
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OmniVision Technologies Investors’ Securities Lawsuit Can Proceed, Says District Court
:
Updated:
Former Merrill Lynch, Oppenheimer, Deutsche Bank Broker is Ordered by FINRA To Pay Investor $11M Over Alleged Securities Fraud
:
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Federal Reserve Board Establishes Key Rule That Will Let Regulator Identify Systemically Important Nonbank Financial Institutions
:
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UBS Loses Appeal to Have FHFA’s $6.4 Billion MBS Fraud Lawsuit Dismissed
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Updated:
Securities Fraud Roundup: 6th Circuit Affirms Ruling Affirms Broker’s Liability Over Reverse Merger, Ex-Stockbroker Pleads Guilty to Insider Trading Over IBM’s SPSS Acquisition, & Father and Son Convicted in $50M Real Estate Fraud
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Updated:
SEC Roundup: Number of Securities Cases Brought Against Attorneys Rises, Permission Granted to Announce Material Information Via Social Media, & Clearing Agency Rulemaking Process Gets Streamlined
:
Updated:
CtW Investment Group Wants JPMorgan Chase Shareholders To Vote Against Re-Electing Four Board of Directors
:
Updated:
AIG Wants to Stop Former CEO Greenberg From Naming It as a Defendant in Derivatives Lawsuit Against the US
:
Updated:
Fifth Circuit To Hear Appeal Over Whether Dodd Frank’s Whistleblower Statute Covers Informants that Report FCPA Violations
:
Updated:
LPL Financial Continues to Stay On Regulators’ Radar
:
Updated:
Medical Capital Fraud Lawsuit Against Wells Fargo Must Proceed
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Updated:
As Brokers Peddle Junk-Loan Funds, Franklin Square Raises Billions of Dollars
:
Updated:
Many Investors Find that Securities Arbitration Can Be Better than Court
:
Updated:
Previous Dissent by Arbitrator is Not Reason to Vacate Award Morgan Keegan Was Ordered to Pay Investors, Says District Court
:
Updated:
Federal Workers’ Privacy Rights if STOCK Act Provision Mandating Online Disclosure of Financial Data Goes Into Effect, Says District Court Judge
:
Updated:
Texas Senator’s Bill Would Make Plaintiffs’ Attorneys in Private Securities Cases Disclose Possible Conflicts Of Interest That Might Have Affected Client Retention
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Updated:
SEC Submits Request for Data on Whether to Make Brokers & Investment Advisers Abide by Uniform Fiduciary Standard
:
Updated:
RMBS Lawsuit Against Deutsche Bank Can Proceed, Says District Court
:
Updated:
SEC OCIE Finds Custody-Related Deficiencies Involving Investment Advisers
:
Updated:
“Substituted Compliance” Should Regulate Cross-Border Swaps, Says SEC Chairman Elisse Walter
:
Updated:
Galleon Group Founder’s Brother Pleads Not Guilty to Insider Trading
:
Updated:
Deutsche Bank Settles Massachusetts CDO Case for $17.5 Million
:
Updated:
Barclays Capital, Interactive Brokers, Lebenthal & Co., and Advisors Asset Management Pay $105,000 in FINRA Fines Related to Municipal Securities Rulemaking Board Violations
:
Updated:
SEC Reaches $600M Insider Trading Settlement with SAC Capital Advisors-Affiliated Hedge Fund Advisory Firm
:
Updated:
Investors are Not Raymond James Financial Customers for FINRA Arbitration Purposes, Rules 4th Circuit
:
Updated:
2nd Circuit Eases MBS Lawsuits by Reinstating Pension Fund’s Case Against Wells Fargo, Royal Bank of Scotland, Wachovia, & Others
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Updated:
Institutional Investment Fraud and The Courts: District Court Won’t Stay Derivatives Case Alleging FCPA Violations, Control Person Claims Against Over Revenue Bond Purchases Can Proceed, Ex-Hedge Fund Manager Gets Enhanced Securities Fraud Sentence
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Updated:
Investment Advisors Report: SEC Division Reviews Application of Investment Advisers Act, New Commission Unit Will Watch For Adviser Risk, & Just 1 in 10 SEC Exams Leads to Enforcement Action
:
Updated:
SEC Actions Roundup: Bridge Premium Finance Settles Over Alleged $6M Ponzi Scam, Ex-Lancer Group Hedge Fund Manager’s Lawyer Sues Over FOIA Request, & Private Equity Firm Ranieri Partners Settles Securities Allegations
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Updated:
Demand Notes Used to Help Pay For Ailing Real Estate Business Were Securities, Says District Court
:
Updated:
FINRA CEO Says Now is Time to Make Investment Advisers and Brokers Adhere to a Fiduciary Standard
:
Updated:
Massachusetts Ponzi Case Leads to Criminal Charges for Couple that Own Viking Financial Group. Inc.
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Updated:
Bulk of American Securitization Forum’s Board Resigns
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Citigroup Will Pay $730M in Bond Lawsuit Alleging It Misled Debt Investors
:
Updated:
Securities Law and Congress Roundup: SEC Plans to Look at Corporate Political Spending Has Some Republicans Asking Why, Regulator Wants Lawmakers To Set Up Independent Auditor for Advisory Firms, & DOJ Stands by Its Record on Prosecuting Financial Firms
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Updated:
Stakeholders With $55M Securities Fraud Case Against Government Over AIG Bailout Get Class Action Certification
:
Updated:
District Court Turns Down Dallas Mavericks Owner Mark Cuban’s Summary Judgment Request in Insider Trading Lawsuit by SEC
:
Updated:
State of Illinois Settles Securities and Exchange Commission Fraud Charges
:
Updated:
Broker-Dealer, Attorneys, Stock Promoters and others charged in “Pump-and-Dump” Scam Involving Tradeshow Marketing Company and Pacific Blue Energy
:
Updated:
New Hampshire Investment Adviser Focus Capital Wealth Management Accused of Elder Financial Fraud to Pay Exchange Traded Fund Victims $2.4M
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Two Oppenheimer Investment Advisers Settle for Over $2.8M SEC Fraud Charges Over Private Equity Fund
:
Updated:
Financial Industry Representatives Settle FINRA Cases Over Securities Fraud
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Updated:
Financial Firms Settle with FINRA: ES Financial Services Resolves Solicitation of Non-US Investors Allegations and Lincoln Financial Securities Consents to Entry of Findings Alleging Inadequate Supervision
:
Updated:
US Courts & Securities Roundup: Arbitration Award in Citi’s Favor is Approved & Investors’ Claims Against An Oppenheimer Private Equity Fund Are Dismissed
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Updated:
Plaintiffs Can Pursue Narrowed Claims Against Private Equity Firms
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Updated:
Financial Representatives Settle with FINRA Over Allegations Related to Excessive Commissions, Elder Financial Fraud, and Funneling Client Funds for Personal Gain
:
Updated:
Texas Securities Fraud: IMS Securities Settles FINRA Case Alleging Inadequate Supervision of Wholesale Representatives
:
Updated:
NASAA Wants Investment Advisers To Be Banned From Forcing Clients Into Mandatory Arbitration
:
Updated:
Securities Roundup: Venecredit Fined $25K for Working with Foreign Finders, Ex-Merrill Lynch/LPL Financial Rep. Faces Fraud Charges, & BrokersXpress Broker is Suspended Over Private Placement-Related Misconduct
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Updated:
Ameriprise Fined $750,000 for Inadequate Supervision of Wire Transfer Requests
:
Updated:
New Stream Capital LLC Hedge Fund Executives Face Criminal Securities Fraud Charges
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SEC Needs to File Securities Fraud Lawsuits Sooner, Rules the US Supreme Court
:
Updated:
Lure of High Returns Make Retail Investors Easy Targets for Securities Fraud Involving Complex Financial Products
:
Updated:
Virgin Islands-Based Investment Adviser Faces SEC Fraud Charges Involving Alleged Kickbacks
:
Updated:
ING Groep NV Broker-Dealers Fined $1.2M by FINRA Over Not Retaining Millions of E-Mails
:
Updated:
New York Fed Bailed Out Bank of America Over Mortgage-Backed Securities Sold to AIG
:
Updated:
FINRA Pulls Back on Regulating Registered Investment Advisers
:
Updated:
Securities Roundup: Lawmaker Presses SEC to Tackle High-Frequency Trading, Approval of Nasdaq’s Plan to Payback FB IPO Investors is Delayed, & Less Investors Filed Securities Lawsuits Against Corporate Firms in 2012
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Updated:
Investment Fraud Lawsuit Against BlackRock Over Exchange-Traded Funds Could Shed More Light on Securities Lending
:
Updated:
Texas Courts Show Preference for Arbitration to Resolve Securities Fraud Claims and Other Business Disputes
:
Updated:
NH Investment Adviser to Pay $1.8M to Investors in FINRA Securities Arbitration Case Over Leveraged and Inverse Exchange-Traded Funds
:
Updated:
UBS Fails in Bid to Block $125M ARS Arbitration Case by Allina Health System
:
Updated:
Securities Fraud Litigation Roundup: Former Hedge Fund Exec Admits to $1M Investment Fraud, SEC Files Penny Stock Scam Case& Class Action Claims Against Contact Lens Maker are Dismissed
:
Updated:
Morgan Keegan Must Buy Back Auction-Rate Securities and Pay $110,500, Says District Judge
:
Updated:
Former Jeffries Director Charged with Securities Fraud Crimes and Sued By SEC Over Alleged Residential Mortgage-Backed Securities
:
Updated:
JP Morgan Sued by Dexia in $1.7B MBS Lawsuit
:
Updated:
Amendments Clarify FINRA’s Right to Look at Firm Records, Books
:
Updated:
Oppenheimer Must Pay $30M to US Airways Group Over ARS Losses
:
Updated:
JPMorgan, Goldman Sachs, Bank of New York Mellon, Charles Schwab Disclose Market-Based NAVs of Money Market Mutual Funds
:
Updated:
Corporate Reform Coalition Praises SEC for Considering Political Spending Mandate Disclosure Rule
:
Updated:
Texas Securities Criminal Case Against Oil and Gas Company Executive Can Proceed, Rules Fifth Circuit
:
Updated:
US Justice Department Sues Standard and Poor’s Over Allegedly Fraudulent Ratings of Collateralized Debt Obligations
:
Updated:
Federal Records Act Lawsuit Seeking to Make the SEC Reconstruct About 9,000 Enforcement-Related Documents is Dismissed
:
Updated:
Goldman Sachs Cleared in Securities Fraud Case Against Dragon Systems for Losses Related to $250M Loss in Sale to Lernout & Haspie
:
Updated:
UBS & Citi Do Have to Arbitrate Auction-Rate Securities Case Filed by Health Care Nonprofit Carilion Clinic
:
Updated:
Advisory Firm Metropolitan West Asset Management LLC Doesn’t Have to Pay Solicitor in Fee Dispute, Rules California Court
:
Updated:
Investment Opportunities to Get More Advertising Exposure Because of JOBS Act Mandate Lifting Ban on General Solicitation
:
Updated:
US Seeking to File Criminal Charges Against Royal Bank of Scotland Group in Interest-Rate-Rigging Settlement Involving Libor
:
Updated:
SEC Whistleblower Office Will Place More Emphasis on Anti-Retaliation Provisions and Publicity This Year
:
Updated:
Alleged Houston, Texas Affinity Fraud Scam Targeting Druze and Lebanese Communities Leads to SEC Charges Against Day Trader
:
Updated:
US Supreme Court to Hear Appeals of Petitioners Over Stanford Ponzi Lawsuits
:
Updated:
SEC News Roundup: Commission to Present Money Market Mutual Fund Reform Proposal, Achieves Record Number of Insider Trading Settlements During FY 2012
:
Updated:
JPMorgan CEO Jamie Dimon Blames Regulators for Problems in the Wake of Economic Crisis
:
Updated:
FINRA News Roudup: FINRA Unveils Telephone Mediation Pilot and Proposes A More Stringent Definition of Public Arbitrator
:
Updated:
Mom of Baby Born with Cancer Sues Barclays Capital for $10M for Alleged Wrongful Termination
:
Updated:
Large Financial Firms Roundup: Securities Fraud Suit Against Citigroup is Dismissed by 2nd Circuit, AIG Wants to File MBS-Related Cases Against Banks, & District Court Reconsiders Partial Dismiss of Class Action Against Morgan Stanley in Pension Fund Case
:
Updated:
Texas Securities: SEC Says District Court is Mistaken In Not Forcing SIPC to Act for Stanford Ponzi Scam Victims
:
Updated:
Criminal Securities Fraud News: Hedge Fund Founder Gets 12 Years for Fraud, Research Firm Executive Goes to Prison for Insider Trading, and Holding Firm CEO Enters Guilty Plea to Conspiring to Bribe Brokers
:
Updated:
NY AG Says Madoff Trustee Shouldn’t Be Able to Block $410M Settlement with Money Manager Merkin
:
Updated:
JPMorgan Chase Ordered to Remedy Risk Management Breakdowns Involving “London Whale” Trades
:
Updated:
Morgan Stanley & Goldman Sachs Settle Federal Homeowner Foreclosure Complaints for $557 Million
:
Updated:
Major Newspapers Say Judicial Arbitration by Delaware’s Court of Chancery is Unconstitutional
:
Updated:
Credit Suisse Must Face ARS Lawsuit Over Subsidiary Brokerage’s Alleged Misconduct, Says District Court
:
Updated:
Despite Her Involvement in Dozens of Securities Cases, Brokerage Firms Continue to Clear Trades of Newport Coast Securities Broker Bambi I. Holzer
:
Updated:
FINRA To Take Closer Look at High-Frequency and Algorithmic Trading, Will Continue to Monitor Private Placements, Complex Products, and Other Areas
:
Updated:
SEC Roundup: Lawmakers Question Structural Reform Costs, Enforcement Director Khuzami to Step Down, & New Commission Chairman Names General Counsel is Named
:
Updated:
IOSCO Complex Products Report Does Not Get SEC Commissioners’ Approval Votes
:
Updated:
Ernst &Young Auditor Suspended Over Part Played in Botched 2004 Audit of AA Investors Management LLC
:
Updated:
SEC Investor Advisory Members to Deal with Crowdfunding, Fiduciary Standard, and Pay Ratio Disclosures
:
Updated:
SEC Roundup: Massachusetts Investment Adviser Gets $1.78M Judgment and Allianz to Pay $12.3M to Settle Foreign Corrupt Practices Act Lawsuit
:
Updated:
Pension Plans’ Shareholder Derivative Claims Against UBS is Reinstated by 1st Circuit Appeals Court
:
Updated:
Morgan Stanley Must Pay Ex-Manager $1M
:
Updated:
SEC To Enhance Company Filings Scrutiny with Broader Corporate Review Process
:
Updated:
Ex-Hedge Fund Portfolio Managers Convicted in $72M Insider Trading Scams
:
Updated:
Clearing House Association Wants Greater Protections for Clearing Members
:
Updated:
Stockbroker Fraud Headlines: Wells Fargo Banker Charged Over $11M Insider Trading, Morgan Stanley to Resolve Facebook IPO Action for $5M, & SEC Accuses Canadian Broker of Inadequate Day Trader Supervision
:
Updated:
SEC Intends to Examine 25% of Investment Advisers That Had To Register, Per Dodd-Frank Act, by End of 2014
:
Updated:
CFTC Roundup: Japan Securities Clearing Corp. Gets Relief Despite Not Registering as a Derivatives Clearing Organization & the Final Oral Communications Records Rule is Approved, as is Interim Final Rules for Major Swap Participants and Swap Dealers
:
Updated:
Stockbroker Fraud Headlines: Securities Claims Against Lehman Underwriters Are Dismissed, NYSE Euronext Works on Kill-Switches Plan, and SEC Calls for Structured Products Ratings Roundtable
:
Updated:
GAO Says Most Financial Regulators Don’t Have the Procedures/Policies to Coordinate Dodd-Frank Rules
:
Updated:
Dismissal of Double Derivative Delaware Securities Lawsuits Over The Bank of America-Merrill Lynch Merger is Affirmed by the Second Circuit
:
Updated:
Reviving Antifraud Lawsuit Over Alleged Market-Timing Practices From Over Five Years Ago is Not the Answer, Say Ex-SEC Officials
:
Updated:
McGraw Hills, Moody’s, & Standard & Poor’s Can’t Be Held Liable by Ohio Pension Funds for Allegedly Flawed MBS Ratings, Affirms Sixth Circuit
:
Updated:
SEC’s Investment Management Division Considers Applying 1940 Advisers Act to Private Fund Advisors
:
Updated:
Alleged Cherry-Picking Scam Leads to SEC Charges Against California Hedge Fund Manager
:
Updated:
Morgan Keegan Founder Faces SEC Charges Over Mortgage-Backed Securities Asset Pricing in Mutual Funds
:
Updated:
District Court in Texas Dismisses Securities Fraud Case Against Sports Franchisor
:
Updated:
Some Private Fund Advisers are Exercising Inadequate Controls, Says SEC Commissioner Elisse Walter
:
Updated:
CFTC Securities Headlines: Goldman Sachs Fined For Inadequate Broker Supervision in $118M Fraud, Firms Named in Precious Metal Scam, & Defendants to Pay $1.8M Over Off-Exchange Foreign Currency Scheme
:
Updated:
Securities Headlines: Credit Suisse & J.P. Morgan to Pay $400M Over RMBS Misstatements, Fox Network’s FOIA Request for AIG Emails Granted, Expedited Discovery Approved in Real Estate ‘Flipper’ Case, & NY Brokerage Owner is Linked to Affinity Scam
:
Updated:
Insider Trading Headlines: Hedge Fund Manager Named in “Most Lucrative Tip” Ever, Ex-Real Estate Director & Friend Accused of Sharing Tips in Merger Targets Must Face SEC Charges, & Matter of Criminal Liability of Secondary Tippees is Clarified Again
:
Updated:
LIBOR Investigation Leads to Three Arrests
:
Updated:
Investment Advisor Securities Roundup: Two Firms Settle SEC Claims That They Impeded with Examinations, FINRA Defends SRO Model, IA Allegedly Duped Private Equity Investors, & CDO Misrepresentation Accusations Against GSCP Executive Are Dismissed
:
Updated:
FHFA Lawsuits Against Barclays Bank, Morgan Stanley, & Deutsche Bank Over RMBS to Proceed to Trial
:
Updated:
SEC Working to Create $50M Reg A Offering Cap to Commissioners ASAP
:
Updated:
Decreased Ability to Process Risk and Danger Make the Elderly Easy Fraud Targets, Says Study
:
Updated:
Houston-Based Receiver Files $1.8B Class Action Filed Against Law Firms Accused of Helping R. Allen Stanford Carry Out His $7B Ponzi Scam
:
Updated:
Insider Trading Roundup: Ex-MLB Player Indicted on Fraud Charges, Former Brokers Indicted in Scam Involving IBM Acquisition, & Health Care Company Execs. Charged Over Alleged Tippee Ring
:
Updated:
Goldman Sachs Ordered to Arbitrate Underwriting Dispute Involving $210M in Auction-Rate Securities
:
Updated:
SEC’s Antifraud Claim Against Goldman Sachs Executive Fabrice Tourre Won’t Be Reinstated, Says District Court
:
Updated:
After SCOTUS Overturns Oklahoma Supreme Court Decision Over Enforceability of an Arbitration Agreement’s Non-Complete Cause, Case Now Goes to Houston, Texas
:
Updated:
“Tone” of SEC Probe Can May Be Affected by Self-Reporting, Says Enforcement Division Official
:
Updated:
SEC Chairwoman Mary Schapiro to Leave Job
:
Updated:
Judge that Dismissed Regulators’ Claims Against Morgan Keegan to Rule on ARS Lawsuit Again After His Ruling Was Reversed on Appeal
:
Updated:
Securities Fraud Roundup: FINRA Examiners See Rise in Brokers Engaging in Improper Activities, SEC Chairman Backs Stronger Enforcement of Civil Penalties Act, & About 800 Investor Fraud Scam Defendants Accounted for Since 2011
:
Updated:
SEC Clawback Lawsuit Against Two Former Arthrocare Corp. Executives Over Fraud Scheme Can Proceed, Says District Court in Texas
:
Updated:
Securities Roundup: BP Settles for $525M SEC Lawsuit Over Deepwater Horizon Spill Disclosures, Ex-OIG Official Says He Was Fired for Exposing Misconduct, Ex-Merrill Lynch Advisor Accused of Defrauding Elderly Client, & Trader Pleads Guilty to $28M Fraud
:
Updated:
UBS ‘Rogue Trader’ Convicted of Fraud that Caused $2.3B Loss
:
Updated:
MassMutual Settles for $1.625M SEC Charges Over Failure to Disclose Allegations Related to Complex Investments’ “Cap”
:
Updated:
FDIC Sues Pricewaterhouse Coopers & Crowe Horwath for Over $1B Over Alleged Failure to Detect Large Fraud That Led to Colonial Bank’s Collapse
:
Updated:
Institutional Investor Fraud Roundup: 3,001 Whistleblower Tips Sent to SEC in ’12, CFTC Contends with ‘Regulatory Cliff,’ and Private Placement Failures Prompt Insurers to More Closely Examine Alternative Investments
:
Updated:
Regulators Also At Fault in MF Global Debacle, Says House Report
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Updated:
Securities Roundup: FINRA Tells Broker Dealer to Cease-a-Desist Its Allegedly Fraudulent Sales, SEC Supports Creation of Variable Annuities Summary Prospectus, & US Supreme Court Hears Amgen & Comcast Appeals to Shut Down Class Action Lawsuits
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US Chamber of Commerce Wants Treasury Secretary to Let SEC Finish Study About Money Market Mutual Funds Before Pressing for Action
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California Securities Lawsuit Claiming Negligent Misrepresentation Over Allegedly Flawed Bond Offering Documents May Proceed, Says District Court
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Federal Sentencing Judges Cannot Later Reopen Fraud Cases to Add Restitution, Rules Fifth Circuit
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Texas Securities RoundUp: Provident Royalties CEO Pleads Guilty in $485M Ponzi Scam and District Court Upholds $100K Arbitration Award in Adviser Fee Dispute
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SEC Roundup: $62M Securities Fraud Award Against Ex-Lancer Group Hedge Fund Manager Stands, Investment Management Division Adopts Risk-Based Approach to Regulatory Initiatives, & Conflicts of Interest Areas Now Are Priority
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FINRA Provides Guidance As It Opens Up Arbitration Process to Investment Advisers
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Louisiana-Based Hedge Fund Manager Charged by SEC with Securities Fraud Related for Allegedly Concealing RMBS Losses
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Standard & Poor’s Misled Investors By Giving Synthetic Derivatives Its Highest Ratings, Rules Australian Federal Court
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Citigroup to Pay $2M Massachusetts Over Allegedly Improper Disclosure About Facebook Before IPO & SEC Wants Additional Comments on Nasdaq’s Proposed $62M Fund For Those that Experienced Technical Glitches After Trading Began
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Top Financial Regulators Speak Out Against Bill They Claim Gives the White House Authority Over Rulemaking
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Securities Roundup: Study Recommends Against Additional Money Fund Reforms, Lawmakers Disagree on Whether Dodd-Frank Wiped Out “Too Big to Fail” & An SEC Committee Approves Recommendations to Proposed General Solicitation Ban
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Criminal Sentences Issued in Municipal Bond Conspiracies Involving Three Ex-Financial Services Execs Accused of Contract Bidding & FINRA Looks at Whether Financial Firms Made Bond Ballot Campaign Contributions For Municipal Underwriting Business
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Court Upholds Ex-NBA Star Horace Grant’s $1.46M FINRA Arbitration Award from Morgan Keegan & Co. Over Mortgage-Backed Bond Losses
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Plaintiff Must Arbitrate Faulty Investment Advice Claim With TD Ameritrade But Can Proceed With Litigation Against Oakwood Capital Management
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Institutional Investor Securities Blog: Putnam Advisory Accused of Massachusetts Securities Fraud in $3B CDO Offerings, SEC Claims Yorkville Advisors Fixed Books To Attract Investors, and FINRA Seeks Comments on Revised Proposal Over Bond Market Research
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If SEC JOBS Act Rule 506 Proposal is Made Final, Legal Challenges Are Likely
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Morgan Stanley Must Pay CFTC $200K for Supervisory Violations, Sued for Bias by Detroit Owners Over New Century Loans
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Texas Securities Fraud: Investors Bilked $68M Dallas Ponzi Scam Hoping To Recover Funds Via Rare Guitar Auction
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Bank of America Corp. Sued for Over $1B By US Government For Mortgage Fraud Against Freddie Mac and Fannie Mae
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Broadway Musical “Rebecca’s” Producers File $100M New York Fraud Lawsuit Against Broker Accused of Scamming Them
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David Lerner Associates Must Pay $14M Over Apple REIT Ten Sales and Allegedly Excessive Markups Involving CMOs and Municipal Bonds—$12M to Go to Investors
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Securities Fraud Roundup: EKN Financial Services Expelled from FINRA, SRO’s CEO Says Complex Products Should Be Subject to Stricter Scrutiny, and Federal Regulators Now Paying Closer Attention to Securities Law Violations that Lead to Victim Hardships
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Annuity Assets are Hot Commodities Among Investment Managers Private-Equity Groups, and Hedge Fund-Controlled Entities
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Texas Securities Fraud: District Court Says Houston-Based Private Equity Firm Can Proceed with Claim Over $10M Film Financing Investment
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Institutional Investment Fraud Roundup: Ex-Analyst Guilty in $61.8M Insider Trading Scheme, SLUSA Precludes Investor Class Action Over Hedge Funds that Failed After Madoff Ponzi, & Dark Pool Operator Settles Subscriber Info. Breach Charges
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FINRA Arbitration Panel Tells Merrill Lynch to Pay $1.34M to Florida Couple Over Allegedly Misrepresenting Fannie Mae Preferred Shares’ Risks
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Citigroup Inc. CEO Vikram Pandit Resigns
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JPMorgan Chase Must Pay Oil Heiress’s Trust $18M For Derivatives Investments, Account Mismanagement, and Unsuitable Investment Advice
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FINRA Securities Fraud Roundup: Guggenheim Securities Fined $800K For Failure to Supervise CDO Traders, Brokerage Firm Managing TIC Securities Doesn’t Have to Arbitrate Investor Claims, & Investor Award in Morgan Keegan Funds is Upheld
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$18.7M Securities Fraud Case Involving Former Linkbrokers Derivatives Brokers is A Prime Example of How Trade Markups Involving Pennies Can Eventually Cost Investors Millions
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CFTC Securities Fraud Roundup: Commissioner Bart Chilton Wants Financial System to Adopt Risk-Based Compensation System, Agency Nets $3M in Four Speculative Limits Cases, & Two Registered Futures Entities Pay $539K Over Inadequate Supervision Allegations
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Securities Roundup: SLUSA Bars Investors’ State Securities Case Alleging Trust Account Management Negligence, Blocks Investors From Remanding Fraud Case to Puerto Rico & FINRA Enhances Proposed Rules’ Cost-Benefit Analysis, Looks at Non-Traded REIT Ads
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Wells Fargo and Wachovia Sued by LBBW Luxemburg Over Alleged $1.5B Securities Fraud
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New York’s Attorney General Sues JP Morgan Chase & Co. Over Alleged MBS Financial Fraud by Its Bear Stearns Unit
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US Supreme Court Considers Hearing Stanford Ponzi Lawsuits
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Securities Lawsuit Over Excessive AXA Mutual Fund Management Fees in Variable Annuity Program Can Proceed, Says NJ District Court
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LIBOR Oversight-Related Changes Announced by FSA Chief
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Burger King Structure Could Activate Certain 1934 Securities Exchange Act Prohibitions, Says SEC’s Special Counsel
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Insider Trading Roundup: SEC Settlement Reached Over Alleged Tips In Insurers’ Merger, Court Won’t Throw Out Criminal Charges Related to Info From AA Member, & Asset Freeze Approved Against Broker In Burger King Acquisition
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Why Were Two Former Morgan Stanley Smith Barney Brokers Not Named As Defendants in Securities Lawsuit by State Regulators Over $6M Now Missing From Wisconsin Funeral Trust?
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Texas Securities Fraud: Investor Sues Behringer Harvard REIT I
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Institutional Investment Fraud Roundup: Ex-Hedge Fund Managers’ Guilty Plea Over Bilking Investors of Almost $1M Get 3-Year Prison Term, SEC Sues Investment Adviser Over Alleged $37M Ponzi, and SEC Files Lawsuit Over Purported “Fund of Funds” Scam
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Lehman Brothers Australia Found Liable in CDO Losses of 72 Councils, Charities, and Churches
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Securities Roundup: FINRA Heightens Focus on Options Industry & Wants More Investors to Use BrokerCheck, Lawmaker Hopes SEC is Taking Closer Look at National Exchanges, and US Senator Calls For Reform of Money Market Mutual Fund Industry
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Merrill Lynch Told to Pay $3.6M to Brazilian Heiress for Brother’s Alleged $389M in Unauthorized Trading
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Municipal Advisor Bill Passes Vote by US House of Representatives
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SEC Charges Advanced Equities with Securities Fraud Related to Private Equity Offerings
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Proposal Getting Rid of Ban Against General Solicitation and Advertising For Certain Private Placements Ended up with Narrower Scope Because of Short Deadline, Said SEC Deputy Director
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Rodman & Renshaw Exits Brokerage Business
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Texas Securities Fraud: Ex-Stanford Chief Investment Officer Gets 3-Year Prison Term for Her Part in $7 Billion Ponzi Scam
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SEC Enforcement Roundup: Commission to Make Closer Examination of Revenue-Sharing Between Brokers and Investment Advisers, NYSE to Pay $5M For Alleged Compliance Issues, and Enforcement Director Khuzami Praises His Division’s Performance
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Technology and Market Developments Warrant Review of IPO Quiet Period, Says SEC Chairman Schapiro
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Class Action MBS Securities Lawsuit Against Goldman Sachs is Reinstated by 2nd Circuit
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Citigroup Inc.’s $590M CDO Putative Class Action Settlement Gets Preliminary Approval from District Court
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IRS Pays Whistleblower $104M for Exposing Tax Evasion at UBS AG
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Securities Roundup: FINRA Fines Rodman & Renshaw $315K, Convictions Reached in $1B High Yield Fraud Scam Involving FBI, SEC Sues Wwebnet over $2.1M Fraud, and Ex-Hedge Fund Manager Settles Unsuitable Investment Recommendation Allegations for Over $421K
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US Government Sells $18B of AIG Stock and Turns a $12.4B Profit
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Mutual Funds File Suit Against BP for Violating Texas Statute Prohibiting Fraud in the Sale of Stock
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St. Louis Rams Quarterback AJ Feeley and US Soccer Player Heather Mitts Are Among Professional Athletes Allegedly Targeted in Ponzi Scam
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SEC Commissioners Paredes and Gallagher ‘Dismayed’ Over Chairman Schapiro’s Announcement Regarding Failed Money Market Mutual Fund Industry Overhaul Proposal
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SEC Study Reports that Many Retail Investors Are Financially Illiterate
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Ex-MF Global CEO John Corzine Says Bankruptcy Trustee’s Bid to Join Investors’ Class Action Securities Litigation is Hurting His Defense
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SEC Acts to Put into Effect Provision of JOBS Act that Allows General Advertising and Solicitation in Securities Offerings
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District Court in Texas Finds that SEC Improperly Deposed Witness in Lawsuit Over Alleged Life Settlement Scam
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Institutional Investor Securities Roundup: FHFA Can Start Discovery in MBS Litigation Against Banks, SEC Sues Puerto Rico Man Over Alleged $7M Scam, and Assets of Two Colorado Men are Temporarily Frozen Over Alleged Promissory Note Ponzi Scheme
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Investors Can Proceed with Nevada Securities Lawsuit Over Reverse Stock Split That Made Company CEO the Only Shareholder
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Citigroup to Pay $590M to Settle Shareholder Class Action CDO Lawsuit Over Subprime Mortgage Debt
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SEC Securities Law Roundup: First Whistleblower Award Under New Program is Announced, Internet-Based Investment Adviser Seeks Regulator’s Recognition, & the Commission Stops Alleged $600M Online Ponzi Scheme
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Institutional Investment Roundup: Madoff Ponzi Victims to Get 2nd Payout, Insurer’s MBS Lawsuit Against UBS Can Proceed, SEC Charges 2 in $10M Penny Stock Scam, & Hedge Fund Manager Found Guilty in $900K Insider Trading Scheme
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Merrill Lynch Agrees to Pay $40M Proposed Deferred Compensation Class Action Settlement to Ex-Brokers
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Majority of Non-Traded REITs Underperform Compared to Benchmarks, Reports New Study
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Ex-Fannie Mae Executives Have to Defend Against SEC Lawsuit Over Their Alleged Involvement in Understating Mortgage Company’s Exposure Risk
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Securities Lawsuit Against Options Clearing Corporation and Chicago Board Options Exchange Can Proceed Says Illinois Appellate Court
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FINRA Seeking to Create a Bigger, More Diverse Arbitrator Roster
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Updated:
2nd Circuit Affirms Dismissal of $18.5M Auction-Rate Securities Lawsuit Against Merrill Lynch Filed by Anschutz Corp.
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NASAA Warns Against Crowdfunding, Investment-for-Visa Scams And Other Investment Fraud
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Amerigroup Shareholders Claim Goldman Sachs Advisers’ Had Conflicts of Interest That Influenced $4.5B Sale of Company to WellPoint
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Updated:
Appeal of Stockbroker Found Liable in Unauthorized Trades of Cyberonics Stock is Rejected by 7th Circuit
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Shareholder Lawsuit Against Goldman Sachs CEO and Other Financial Firm Executives is Dismissed
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Texas Appeals Court Says Letter of Intent for Sale of Fiduciary Financial Services of Southwest Stock to Corilant Financial is Not an Enforceable Contract
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Securities and Exchange Commission Charges Former UGA Football Coach Jim Donnan Over Alleged $80M Ponzi Scam
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Even With Securities Lawsuits Over MF Global’s $1.6 Billion Customer Funds Loss, Don’t Expect Criminal Charges
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Updated:
CFTC Commissioner Proposes Plan to Give Futures Customers SIPC-Like Protections
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Wells Fargo Securities Settles for Over $6.5M SEC Charges Over Allegedly Improper Sale of ABCP Investments with Risky MBS and CDOs
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Stockbroker Securities Roundup: Criminal Convictions Vacated Against Six Charged in Front Running Scam and Citigroup Broker Cleared in $1B CDO Deal SEC Case
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Lawsuit Challenging BP Cancellation of 2010 First Quarter Dividend After Deepwater Debacle is Dismissed in Texas Court
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Updated:
SEC Reviewing LIBOR-Related Disclosures by Issuers
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Morgan Stanley May Have To Shut Down Brokerage Offices, Say Sources
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Institutional Investor Securities Roundup: Biremis, Corp. Settles Securities Violation Charges with Industry Bar, FINRA Contacts Broker-Dealers About Conflicts of Interest Via Sweeps Letters, & Regulators Examine Financial Market Infrastructures
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Plaintiff Says Morgan Stanley Fired Him for Calling out Investment Adviser Who Was Churning Accounts and Bilking Investors
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UBS, Citigroup FINRA Arbitration with Nonprofit Over ARS Cannot Be Halted, Said District Court
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Remaining Defendants in $50M Amerifirst Securities Fraud are Sentenced in Texas
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Securities Roundup: Court Says Investors’ American Funds Securities Litigation Claims Were Timely, Nasdaq Proposes $62M Fund to Repay Facebook IPO Participants, Indictment Made in Alleged Muni Bond Rigging Plot, & Investment Advisers Could Pay User Fees
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Reform the Municipal Bond Market, Says the SEC
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FINRA, SEC Need to Employ Better Oversight Over Investor Education Funds, Says District Court
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Govt. Not Prepared for Next Inevitable Financial Crisis, Says Ex-SEC Chair
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The SEC Penalties Act of 2012 Would Create Tough Financial Punishments for Securities Fraud
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Institutional Investment Fraud Roundup: STEC Inc. CEO Sued for Insider Trading, Hedge Fund Adviser Indicted for Allegedly Misleading Investors, Two Brothers Settle Naked Short Selling Lawsuit for $14.5M, & Underwriters Get New Disclosure Obligations
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SEC’s Delay in Adopting Conflict Minerals Disclosure Rule is Impeding the Development of Initiatives for Issuer Compliance, Says GAO
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Peregrine Financial Group Customers Were Victims of the “System,” Says CFTC Chairman Gensler
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Stanford Ponzi Scam Investors File Class Action Lawsuit Suing The Securities and Exchange Commission
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Ex-Stanford Group Compliance Officer, Now MGL Consulting CEO, Says SEC’s Delay Over Whether to Charge Him in Ponzi Scam is Denying Him Right to Due Process
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Dodd-Frank Whistleblower Protection Amendment Must Be Applied Retroactively, Said District Court
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No SIPA Coverage for Soft Dollar Credits, Says Bankruptcy Court
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Montana Supreme Court Says Lower Court’s Finding that Tenancy-in-Common Investment Is Not A Securities Was In Error
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Institutional Investor Roundup: Ex-IndyMac Executives Class Action Securities Case for $6.5M, New York Fed Sells $828M of Mortgage Debt Securities from AIG Bailout, and Survey Says That 25% of Wall Street Employees Believe Cheating is Necessary to Succeed
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CFTC Files Texas Securities Fraud Against TC Credit Services and its Houston Owner Over $1.4M Commodity Pool Scam
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Barclays LIBOR Manipulation Scam Places Citigroup, Credit Suisse, Deutsche Bank, JP Morgan Chase, and UBS Under The Investigation Microscope
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FINRA Sustained $84.1M Net Loss in 2011
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Goldman Sachs Execution and Clearing Must Pay $20.5M Arbitration Award in Bayou Ponzi Scam, Upholds 2nd Circuit
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NYSE Proposal for Retail Order Execution Pilot Program Gets SEC Approval
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Institutional Investor Roundup: Evergreen Ultra Short Investor Lawsuit Settled for $25M, FINRA Launches Pilot Program for Huge Claims, Ex-AmeriFirst Funding Manager’s Conviction Appeal is Rejected, & EU Regulator Examines Credit Raters’ Bank Downgrade
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CFTC Accuses Peregrine Financial Group of Securities Fraud Related to $200M Customer Funds Shortfall
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Texas Securities: SEC’s Bid To Get Stanford Ponzi Scam Victims SIPC Coverage is Denied by District Court
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SEC to Push for Money Market Mutual Fund Reform Provisions Despite Opposition
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Will the JOBS ACT Will Expand Private Offerings But Hurt Public Markets?
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JPMorgan Chase Brokers Say the Financial Firm Prioritized Sales Over Investors’ Needs
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NYSE Euronext Head Wants SEC to Revive Rule Proposal Enhancing Dark Pool Transparency
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Texas Securities Roundup: Morgan Stanley Smith Barney Sued Over Financial Adviser’s Ponzi Scam, Judge Dismisses Ex-GE Executive Whistleblower’s Lawsuit Over His Firing, & Ex-Stanford Financial Group CIO Pleads Guilty to Obstructing the SEC’s Probe
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Ex-Money Concepts Registered Representative Faces SEC Charges For Running Astrology-Influenced Ponzi Scam
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Should Retail Investors Be Given Greater Access to IPO Information?
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Updated:
Harbinger Capital Partners LLC and Hedge Fund Adviser Philip A. Falcone Face SEC Securities Charges Over Client Asset Misappropriation and Market Manipulation Allegations
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Securities Law Roundup: Merrill Lynch Pays Customers $32M For Allegedly Overcharging Them with Unwarranted Fees, Brookstone Securities is Accused of $1.6M in Fraudulent CMO Sales to Elderly Retirees, and Planner Loses CFP Designation Following After Maine
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Ponzi Scam Receiver Can Go Forward with Securities Claim Against Texas Investor Who Benefited From the Fraud
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Updated:
Federal Judge Approves $40M Residential Mortgage-Backed Securities Settlement In Class Action Against Former Lehman Brothers Holdings Executives
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Updated:
Investor Groups, Securities Lawyers, and Business Community Comment on the JOBS Act Reg D’s Investor Verification Process
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Institutional Investment Roundup: FINRA Lets Ex-UBS Broker Keep $1M Signing Bonus, Court Approves Settlement Reached By Ex-Bear Stearns Hedge Fund Managers & SEC, Madoff Investors’ Securities Suit Against the Govt. is Dismissed
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Morgan Stanley Smith Barney Ordered by FINRA Arbitration Panel to Pay $5M Over Allegedly False Promises Made To Brokers Recruited from UBS AG
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SEC Investor Advisory Committee Members Warn the Commission Not to Neglect Its Rulemaking Duties Even While Working to Implement the JOBS Act
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Updated:
SEC’s Efforts to Reconsider a ’07 Proposal Over Broker-Dealer Financial Requirements Elicits Concerns From Some Market Participants
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Texas Securities Case: Mark Cuban Asks District Court To Reconsider Compelling the SEC to Produce Documents Related to Insider Trading Allegations Over Mamma.com Stock Offering
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Securities and Exchange Commission Seeks Comments Regarding Its ‘Security-Based Swap Rules’ Implementation Plan
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Updated:
Lawmakers Use Funding Bill for Financial Police as Forum to Express Views on Regulators and their Agencies
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Updated:
Ex-Morgan Stanley Smith Barney Broker Settles with FINRA for Allegedly Failing to Notify Firm of Previous Arrest
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Investment Advisers and Brokers Should Be Able To Explain in One Page Why an Investment Would Benefit a Retail Client, Says FINRA CEO Richard Ketchum
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Updated:
CFTC Director Says Corporate Compliance Employees Should Have Comprehension of Dodd-Frank Whistleblower Requirements’Anti-Retaliation Provisions
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Securities Law Roundup: Ex-Sentinel Management Group Execs Indicted Over Alleged $500M Fraud, Egan-Jones Rating Wants Court to Hear Bias Claim Against SEC, and Oppenheimer Funds Pays $35M Over Alleged Mutual Fund Misstatements
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Updated:
Advanced Equities Ordered by FINRA Arbitration Panel to Pay $4.5M to Ex-Broker
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Updated:
Madoff Trustee Files Clawback Lawsuits Collectively Seeking Over $1B For BLMIS Feeder Fund Transfers
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Updated:
House Financial Services Committee Hears Arguments Over Who Should Oversee Investment Advisers
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Updated:
Investor Fraud Claims Against Prescott City, AZ are Dismissed by District Court
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Updated:
District Court Denies UBS Summary Judgment in Sarbanes-Oxley Whistleblower Lawsuit
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Institutional Investor Securities Roundup: SEC Sues Investment Adviser Over $60M Ponzi Scam, Michigan Investment Club Manager Gets Prison Term for Defrauding Over 900 Investors, & IOSCO Seeks Comments on Report About Credit Raters’ Conflicts & Controls
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Updated:
Leave The 2nd Circuit Ruling Upholding Madoff Trustee’s “Net Equity” Method for Investor Recovery Alone, Urges SEC to the US Supreme Court
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FINRA Initiatives Addressing Market Volatility Approved by the SEC
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Updated:
SEC and CFTC Say They Found Out About JPMorgan’s $2B Trading Loss Through Media
:
Updated:
ABA Presses for Self-Funding for SEC and CFTC
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Updated:
FINRA Enforcement Actions in 2012 Likely to Equal The Record Number Brought Last Year
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Updated:
Several Claims in Securities Fraud Lawsuit Against Ex-IndyMac Bancorp Executives Are Dismissed by Federal Judge
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Updated:
Institutional Investment Securities Round-Up: Citigroup Agrees to $3.5M FINRA FIne Related to Subprime RMBS, Ex-Broker Consents to $600K CFTC Fine Over Alleged Options Trading Scam, and Senate Ag Chair Presses Regulators To Fully Implement Dodd-Frank
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Updated:
SEC Charges New York-Based Fund Manager and His Two Financial Firms Over Alleged $11M Ponzi Scheme
:
Updated:
Apple REIT Arbitration: FINRA Rules Against David Lerner Associates in First of Hundreds of Cases
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Updated:
SEC Practice of Settling Enforcement Actions Without Requiring Defendants to Deny or Admit to Allegations Gets Support from Federal Judges and Democrats
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Updated:
Securities Law Roundup: Ex-Morgan Stanley’s SEC Settlement Over Alleged FCPA Violations Gets Court Approval, Corruption Probe Into Wal-Mart’s Mexico Activities Continue, and Sentry Global Securities Principal Gets 20-Years for Pump-and-Dump Scam
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Updated:
Alleged Ponzi-Like Real Estate Investment Scam that Defrauded Victims of $9M Leads to SEC Charges Against New Jersey Man
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Updated:
Whistleblower Sues SEC and FBI for Documents Into Commission’s Probe of Sempra Energy
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Senate Democrats Want Volcker Rule’s “JP Morgan Loophole” Allowing Portfolio Hedging Blocked
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Updated:
Ex- NAPFA Chairman Indicted by Grand Jury and Sued by SEC For Allegedly Diverting $47.7M of Investors’ Funds Into His Own Start-Ups
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Updated:
JPMorgan Chase Had No Treasurer When Chief Investment Office Made Trades Resulting In More than $2B Loss, Reports WSJ
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JPMorgan Chase Shareholders File Securities Lawsuits Over $2B Trading Loss
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Charles Schwab Corp.’s Lawsuit Against FINRA to Stop Enforcement Case is Dismissed by Federal Judge
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JPMorgan Chase $2B Trading Loss Leads to Probes by the SEC, Federal Reserve, and FBI
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Updated:
Trading in Securities of 379 Microcap Companies Suspended in SEC’s Fraud Crackdown
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Updated:
Dire Predictions For Wall Street Reforms: Not Complete Until 2013, Even Longer to Implement, Half May Not Survive
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Updated:
Stockbroker Fraud News Roundup: UBS Puerto Rico Settles SEC Action for $26M, Morgan Keegan’s Bid to Get $40K Award Over Marketing of RMK Advantage Income Fund Vacated is Denied, and SEC Settles with Attorney Involved in $1B Viaticals Scam
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Updated:
Court Rules that Victims of Fraudulent Sales of Derivative Securities Must File Separate Claims – No Class Action Allowed
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Updated:
Private Fund Advisers Have Fiduciary Duty to Client Funds, Says SEC’s Di Florio
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Updated:
Dallas Man Involved in $485M Ponzi Scams, Including the Fraud Involving Provident Royalties in Texas, Gets Twenty Year Prison Term
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Updated:
The 11th Circuit Revives SEC Fraud Lawsuit Against Morgan Keegan Over Auction-Rate Securities
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Updated:
Houston, Texas-Based Forethought Financial Group to Purchase The Hartford Financial Services Group’s Annuities Units
:
Updated:
SEC Changes to Enforcement Have Led to Enhanced Results, Says Khuzami
:
Updated:
Morgan Stanley, Citigroup, Wells Fargo, and UBS to Pay $9.1M Over Leveraged and Inverse ETFs
:
Updated:
Global Investing Round Up: SEC Sues Chinese Company for Overstating Asset Values, 11th Circuit Reinstates Investor Claims Over Alleged Financial Scam in Involving India Entities, EC Calls for Delay in Imposing U.S. Swap Regulations, and Switzerland Propos
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Updated:
Schwab Subsidiary OptionsXpress Accused of Naked Short Selling Scam by SEC
:
Updated:
Montford Associates to Pay $650,000 in Securities and Exchange Commission Penalties Over Failure to Disclose Payments from Hedge Fund
:
Updated:
District Court Won’t Dismiss Securities Fraud Lawsuit Over Alleged Oral Misrepresentations
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Updated:
Morgan Stanley Sued by MetLife for Securities Fraud Over $757 Million in Residential Mortgage-Backed Securities
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Updated:
FINRA Bars Former Wells Fargo Advisors Broker that Bilked Child with Cerebral Palsy
:
Updated:
SEC to Make Sure Rule Writing Process Incorporates Better Cost-Benefit Analysis
:
Updated:
Texas Broker-Dealer Pinnacle Partners Financial is Expelled by FINRA Hearing Officer Over Allegedly Fraudulent Sales of Unregistered Securities and Private Placements of Oil and Gas
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Updated:
H & R Block Subsidiary Option One Mortgage Corporation to Pay $28.2M to Residential Mortgage-Backed Securities Investors
:
Updated:
FINRA Proposal Giving Collective Actions Exemption from Arbitration Gains SEC’s Accelerated Approval
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Updated:
Commodities/Futures Round Up: CFTC Cracks Down on Perpetrators of Securities Violations and Considers New Swap Market Definitions and Rules
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Updated:
SEC Institutional Round Up: Whistleblower Bounty Program May Be Reviving Internal Fraud Reporting Mechanisms and Investor Advocacy Group Wants Ban on Accounts Allowing Dually Registered Advisers and Brokers to Give Advice
:
Updated:
Silicon Valley Man Faces SEC Securities Fraud Charge After Allegedly Bilking Internet Start-Up Investors of the “Next Google” of Millions
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Updated:
Texas Securities Fraud: US Supreme Court Turns Down Ex-Enron Corp Chief Executive Jeffrey Skilling’s Appeal to Have His Criminal Conviction Overturned
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Updated:
REIT Retail Properties of America’s $8 Public Offering Results in Major Losses for Fund Investors
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Updated:
SEC Chairman Says Commission Shouldn’t Impose Industry-Wide Bars On Offenders that Committed Misconduct Before Dodd-Frank Statute’s Enactment
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Updated:
AARP, Investment Adviser Association, Among Groups Asking the SEC to Make Brokers Abide by 1940 Investment Advisers Act’s Fiduciary Duty
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Goldman Sachs to Pay $22M For Alleged Lack of Proper Internal Controls That Allowed Analysts to Attend Trading Huddles and Tip Favored Clients
:
Updated:
Morgan Stanley to Compensate A Number of Texas Homeowners for Alleged Misconduct by Saxon Mortgage Services
:
Updated:
Stockbroker Fraud Roundup: SEC Issues Alert for Broker-Dealers and Investors Over Municipal Bonds, Man Who Posed As Investment Adviser Pleads Guilty to Securities Fraud, and Citigroup Settles FINRA Claims of Excessive Markups/Markdowns
:
Updated:
Bank of New York Mellon Corp. Must Contend with Pension Fund Claims Over Countrywide Mortgage-Backed Securities
:
Updated:
Principals of Global Arena Capital Corp. and Berthel, Fisher & Company Financial Services, Inc. Settle FINRA Securities Allegations
:
Updated:
Wirehouses Struggle to Retain Their Share of the High-Net-Worth-Market
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Updated:
FINRA Bars Registered Representatives Accused of Securities Misconduct and Negligence
:
Updated:
Merrill Lynch to Pay Brokers Over $10M for Alleged Fraud Over Deferred Compensation Plans
:
Updated:
CFTC Says RBC Took Part in Massive Trading Scam to Avail of Tax Benefits
:
Updated:
Netherlands Offers Jurisdiction To Class Actions Securities Cases for US Citizens and Others Who Cannot Obtain Redress Domestically
:
Updated:
SEC to Investigate Seesawing Credit Suisse TVIX Note
:
Updated:
Five Morgan Stanley Smith Barney Managed Future Funds Report $79.1M in Losses in 2011
:
Updated:
Ameriprise Financial Sued by Employees Over Allegedly Excessive 401(K) Costs
:
Updated:
Institutional Investor Fraud Roundup: SEC Seeks Approval of Settlement with Ex-Bear Stearns Portfolio Managers, Credits Ex-AXA Rosenberg Executive for Help in Quantitative Investment Case; IOSCO Gets Ready for Global Hedge Fund Survey
:
Updated:
Texas Securities Fraud: State Law Class Action in R. Allen Stanford’s Ponzi Scam Not Barred by SLUSA
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Updated:
Citigroup Ordered by FINRA to Pay $1.2M Over Bond Markups and Markdowns
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Updated:
JP Morgan Chase To Pay $150M to Settle Securities Lawsuit Over Lending Program Losses of Union Pension Funds
:
Updated:
Some Former Pro-Athletes Regain the Spotlight But This Time For Financial Fraud
:
Updated:
Institutional Investor Fraud Roundup: Decline in Securities Class Action Settlements, ESMA Recognizes US Credit Rating Agency Framework, and Court Dismisses Securities Lawsuit Against Mecox Lane
:
Updated:
SEC’s Office of the Whistleblower In Early Phase of Evaluating Reward Claims
:
Updated:
Three Oil Service Executives Face SEC Charges in Texas Court For Allegedly Bribing Nigerian Customs Officials
:
Updated:
Insurance Agent Convicted in Annuity Case Involving 83-Year-Old Dementia Patient
:
Updated:
SEC Chairman Schapiro Says Jumpstart Our Business Startups Act Needs Better Investor Protections
:
Updated:
US Army Staff Sergeant Held in Afghan Civilian Massacre Was Once Accused of Securities Fraud
:
Updated:
SEC and SIPC Clash Over Standard of Proof Necessary to Insure Investors For Stanford Ponzi Fraud Losses
:
Updated:
SharesPost, its CEO, and Fund Manager Settle with the SEC
:
Updated:
FINRA Fines AXA Advisors $100,000 For Allegedly Not Firing Broker who Ran Ponzi Scam Sooner
:
Updated:
SEC Chairman Mary Schapiro Stands By Agency’s 2011 Enforcement Record
:
Updated:
SEC Looks Likely to Win Appeal in $285M Securities Settlement that Judge Rakoff Rejected
:
Updated:
Texas Securities Fraud: District Court Holds Ex-Dell Administrative Assistant and Her Stockbroker Spouse Liable for Insider Trading
:
Updated:
As the US House Passes Package of Bills to Open Capital Market Flow to Small Businesses, the Senate Prepares Similar Legislation
:
Updated:
SIPC Modernization Task Force Recommends Increasing SIPA Protection Level for Failed Brokerage Firm’s Clients from $500K to $1.3M
:
Updated:
Look Out for Rule Recommendations on Consolidated Audit Trail, Market-Wide Circuit Breaker Changes, and Limit Up-Limit Down Mechanisms
:
Updated:
FINRA May Surrender Proprietary BrokerCheck Lock 1
:
Updated:
Texan R. Allen Stanford Convicted on 13 Criminal Counts Over $7.2B Ponzi Fraud
:
Updated:
US Supreme Court’s Janus Ruling May Compel SEC to File More Aiding, Abetting, and Control Person Liability Securities Claims
:
Updated:
Texas Financier Allen Stanford’s Ponzi Scam: SIPC Asks District Court to Toss Out SEC Lawsuit Seeking to Reimburse Fraud Victims
:
Updated:
House To Vote On GOP Legislation Related to Small Business’ Access to Capital
:
Updated:
FINRA May Surrender Proprietary BrokerCheck Lock
:
Updated:
US Sentencing Commission is Open to Public Comment on Proposed Amendments that Could Impact Insider Trading Convictions
:
Updated:
SEC Wants Proposed Securities Settlements with Bear Stearns Executives to Get Court Approval
:
Updated:
Investment Adviser Roundup: Two Firms Pay Over $47M For Alleged Failure to Properly Disclose Allegations, District Court Allows Claims Involving Excessive Mutual Fund Fees, and Conn. Firm to Settle CDO Misrepresentation Allegations for $1.62M
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Updated:
Democrats Want to Volcker Rule to Be Clear About Banks Being Allowed to Invest in Venture Capital Funds
:
Updated:
SEC Warning to Investors: Watch Out for Fraudsters Posing As Regulators
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Updated:
SEC Chairwoman Defends ‘No Wrongdoing’ Settlements
:
Updated:
NFA Enforcement Action Filed Naming Texas Financial Firm J Hansen Investments
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Updated:
SEC Revises Dollar Amount Thresholds Determining Whether to An Advisory Client Would Have to Pay Performance Fees
:
Updated:
Private REITs: The Need for Tougher Oversight?
:
Updated:
Appeals Court affirm SEC Finding that Broker Acted “Willfully” When Keeping Tax Liens Information from FINRA
:
Updated:
Texas Man Sued by CFTC Over Alleged Foreign Currency Fraud
:
Updated:
$698M MBS Lawsuit Seeking Damages from Goldman Sachs Group Can Take on Class Action Status, Says District Judge
:
Updated:
Not All Municipal Bond Issuers Are Adjusting Well to the SEC’s Efforts to Make the Market More Transparent
:
Updated:
ISS Probes Allegations that a Boston Employee Sold Shareholder Information
:
Updated:
SEC to Concentrate on Financial Firms Where Management is Not Doing Enough to Promote Compliance
:
Updated:
US Supreme Court Once Again Upholds Enforcement of Arbitration Agreements
:
Updated:
SEC Examines the Private Equity Industry
:
Updated:
Bank of America Subpoenaed by Massachusetts Over Bryn Mawr CLO II Ltd. and LCM VII Ltd. CLOs that Cost Investors $150 Million
:
Updated:
Investors of Highland Floating Rate Funds File Securities Fraud Claims and Lawsuits Over Poor Performance
:
Updated:
SEC Gets Initial Victory in Lawsuit Against SIPC Over Payments Owed to Stanford Ponzi Scam Investors
:
Updated:
Texas Securities Fraud: SEC May Pursue Disgorgement Claim from Charles Wyle’s Estate Now that He is Deceased
:
Updated:
Pressure from Regulators and Investors Prompts Carlyle Group to Drop Arbitration Clause from its IPO Filing
:
Updated:
FINRA Says Charles Schwab Corp. is Making Customers Waive Right to Pursue Class Action Lawsuits
:
Updated:
Senate Passes Bill Banning Congressional Insider Trading
:
Updated:
Two Ex-Credit Suisse Executives Plead Guilty to Mortgage-Backed Securities Fraud
:
Updated:
SEC and SIPC Go to Court Over Whether SIPA Protects Stanford Ponzi Fraud Investors
:
Updated:
AmeriFirst Funding Corp. Owner Convicted of Texas Securities Fraud
:
Updated:
FINRA Investor Education Foundation and NFL Player Join Forces To Protect Pro Football Players from Investment Fraud
:
Updated:
CFTC and SEC May Need to Work Out Key Differences Related to Over-the-Counter Derivatives Rulemaking
:
Updated:
FINRA Tells Financial Firms to Heighten Supervision of Complex Products
:
Updated:
Residential Mortgage-Backed Securities Working Group Brings Federal Investigators and State Law Enforcement Officials Together to Investigate How MBS Abuses Contributed to 2008 Financial Crisis
:
Updated:
KBS Cap Markets Non-Traded REITs May Be Too Risky for Some Retail Investors
:
Updated:
Despite Tougher Investigations, SEC is Still Letting Wall Street Firms Avoid Punishments for Financial Fraud
:
Updated:
SEC Charges First Resource Group LLC in Alleged Florida Penny Stock Boiler Room Scam
:
Updated:
Citigroup Woes Continue With FINRA Order to Pay Financial Adviser Team $24M Over Inadequate Compensation
:
Updated:
Merrill Lynch, Pierce, Fenner & Smith Ordered to Pay $1M FINRA Fine for Not Arbitrating Employee Disputes Over Retention Bonuses
:
Updated:
Texas Securities Fraud: BNY Mellon Capital Markets LLC Settles Allegations of Rigged Bond Bidding for $1.3M
:
Updated:
Investor Complains to FINRA About Behringer Harvard Holdings, LLC-Related Real Estate Investment Losses
:
Updated:
Jury Trial Begins in Ponzi Scammer Allen Stanford’s Criminal Case
:
Updated:
Unsealed Documents in $54.4M FINRA Arbitration Case Reveal that Citigroup Did Not Disclose Municipal Bond Risks to Investors
:
Updated:
Citigroup Global Markets Settles for $725,000 FINRA Fine Over Failure to Disclose Conflicts of Interest
:
Updated:
TD Bank Ordered to Pay Texas-Based Coquina Investments $67M Over $1.2 Billion Ponzi Scheme
:
Updated:
UBS Global Asset Management to Pay $300,000 to Settle SEC Charges Related to Alleged Mutual Fund Price Violations
:
Updated:
$78M Insider Trading Scam: “Operation Perfect Hedge” Leads to Criminal Charges for Seven Financial Industry Professionals
:
Updated:
SIFMA Wants FINRA to Take Tougher Actions Against Brokers that Don’t Repay Promissory Notes
:
Updated:
Raymond James Financial to Buy Morgan Keegan from Regions Financial for $930 Million
:
Updated:
Ex-SEC Lawyer to Settle DOJ Charges Accusing Him of Inappropriately Representing Ponzi Fraudster Allen Stanford
:
Updated:
Oppenheimer & Co. Must Buyback $6M in Auction-Rate Securities from Investor, Says FINRA Arbitration Panel
:
Updated:
Securities Fraud Lawsuit Names NRP Financial Inc. in $150M Minnesota Ponzi Scam
:
Updated:
Despite Reports of Customer Satisfaction, Consumer Reports Uncovers Questionable Sales Practices at Certain Financial Firms
:
Updated:
Former Brookstreet Securities Broker Who Promoted Subprime Mortgages Commits Suicide
:
Updated:
Securities and Exchange Commission Charges Investment Adviser with Committing Securities Fraud on Linked In
:
Updated:
Texas Securities Fraud: SEC Charges Life Partners Holdings Inc. in Life Settlement Scam
:
Updated:
With Confirmation of Richard Cordray as Its Director, The Consumer Financial Protection Bureau Can Finally Get to Work
:
Updated:
SEC Modifies Definition of Net Worth Standard for “Accredited Investors” with Final Rule
:
Updated:
SEC Seeks to Impose Tougher Penalties for Securities Fraud
:
Updated:
Bank of New York Mellon To Pay $1.3M To Texas, New York, and Florida Over Auction-Rate Securities Trading Allegations
:
Updated:
Citigroup Request to Overturn $54.1M Municipal Bond Arbitration Ruling Denied by Judge
:
Updated:
Former-Chicago Bears Wide Receiver Willie Gault Sued by SEC for Securities Scam Involving the Alleged Inflation of Stock Prices
:
Updated:
Barclays Capital Ordered by FINRA to Pay $3M Fine For Alleged Subprime Mortgage Securitization-Related Misrepresentations
:
Updated:
Wells Fargo-Sponsored Survey Finds that Sense of Security About Retiring Doesn’t Necessarily Come with Affluence
:
Updated:
Bank of America to Pay $335M to Countrywide Financial Corp. Borrowers Over Allegedly Discriminating Lending Practices
:
Updated:
SEC Sues SIPC Over R. Allen Stanford Ponzi Payouts
:
Updated:
Daniel “Rudy” Ruettiger Faces SEC Charges Over Pump-and-Dump Scam Involving Sports Drink Company
:
Updated:
Well Fargo Advisers to Pay $2 Million to Settle Claims that Broker Sold Unsuitable Reverse Convertible Securities to Seniors
:
Updated:
Investors Want JP Morgan Chase & Co. To Explain Over $95B of Mortgage-Backed Securities
:
Updated:
Three Investment Advisers Charged with Massachusetts Securities Fraud
:
Updated:
Former Fannie Mae and Freddie Mac Executives Face SEC Securities Fraud Charges
:
Updated:
SEC Charges Father and Son with Utah Securities Fraud In Alleged $220M Ponzi Scam Over Purported Real Estate Investments
:
Updated:
Texas Securities Fraud Over Sale of Allegedly Bogus Annuities to Elderly Seniors
:
Updated:
Bankruptcy Judge Grants MF Global Permission to Use $21M from JPMorgan Chase
:
Updated:
$1.2 Billion of MF Global Inc.’s Clients Money Still Missing
:
Updated:
Colorado Securities Fraud: Universal Consulting Resources LLC and Owner Richard Dalton to Pay $15.8M to Settle SEC Lawsuit Over Ponzi Scam
:
Updated:
SEC’s Office of the Whistleblower Received 334 Tips During FY 2011
:
Updated:
Wells Fargo Settles for $148M Municipal Bond Bid-Rigging Charges Against Wachovia Bank
:
Updated:
Bank of America’s Merrill Lynch Settles for $315 million Class Action Lawsuit Over Mortgage-Backed Securities
:
Updated:
Texas Securities Fraud: Unregistered Adviser Confesses to Selling Almost $400K in Promissory Notes and Investments Despite Cease and Desist Order
:
Updated:
Texas Securities Fraud: Raymond James Financial Services Pays Elderly Senior Investor About $1.8M Following Loss of Appeal
:
Updated:
Securities Claims Accusing Merrill Lynch of Concealing Its Auction-Rate Securities Practices Are Dismissed by Appeals Court
:
Updated:
Former US Treasury Secretary Henry Paulson Told Hedge Funds About Fannie Mae and Freddie Mac Bailouts in Advance
:
Updated:
LPL Financial Ordered to Pay $100K for Lack of Adequate Oversight that Resulted in Unsuitable Investments for Clients
:
Updated:
Sale of Interest in Private Placement Offerings by Medical Capital Holdings, Provident Royalties DBSI Leads to FINRA Order that Investors Get $3.2M in Restitution
:
Updated:
Citigroup’s $285M Settlement With the SEC Is Turned Down by Judge Rakoff
:
Updated:
FINRA May Put Forward Another Proposal About Possible SEC Rule Regarding Fiduciary Duty
:
Updated:
MF Global Shortfall May Be More than $1.2B, Says Trustee
:
Updated:
Bonds Defeat Stocks For the First Time Since Prior to the Civil War
:
Updated:
Former Bernard L. Madoff Investment Securities LLC Employee Faces SEC Charges for Creating Fake Trades to Enable Ponzi Scam
:
Updated:
Wells Investment Securities Agrees to $300,000 Fine by FINRA for Alleged Use of Misleading Marketing Materials for REIT Offerings
:
Updated:
SEC Files Charges in $27M Washington DC Ponzi Scam
:
Updated:
Ex-AIG CEO Sues Government For $25B Over 2008 Takeover of Insurance Giant
:
Updated:
Oppenheimer Funds Investors Can Proceed with Their Securities Fraud Lawsuit
:
Updated:
Chase Investment Services Corporation Ordered by FINRA to Pay Back $1.9M for Unsuitable Sales of Floating-Rate Loan Funds and UITs.
:
Updated:
Morgan Stanley Investment Management Settles SEC Charges Over Allegedly Inappropriate Fee Deal for Over $3.3M
:
Updated:
MF Global Holdings Clients Unable to Access Their Money Following Chapter 11 Bankruptcy
:
Updated:
AARP Offers Older Investors 5 Warning Signs for Avoiding the Next Major Ponzi Scam
:
Updated:
Jefferson County, Alabama Declares Municipal Bankruptcy
:
Updated:
Hedge Fund Manager Raj Rajaratnam Ordered by SEC to Pay $92.8M Penalty for Insider Trading
:
Updated:
Former Texan and First Capital Savings and Loan To Pay $4.5M for Alleged Foreign Currency Ponzi Scheme
:
Updated:
UBS Settles for $8M SEC Charges Over the Inaccurate Recordkeeping of Short Sales
:
Updated:
SEC and DOJ Charge Two Florida Men With Free Riding Securities Scam
:
Updated:
Citigroup’s $285M Mortgage-Related CDO Settlement with Raises Concerns About SEC’s Enforcement Practices for Judge Rakoff
:
Updated:
Former Deloitte Tax LP Partner’s Wife Settles Insider Trading Charges for $1M
:
Updated:
Texas Securities Fraud: SEC Moves to Freeze Assets of Stewardship Fund LP
:
Updated:
Banco Espirito Santo S.A. Settles for $7M SEC Charges Alleging Violations of Investment Adviser, Broker-Dealer, and Securities Transaction Registration Requirements
:
Updated:
Dblaine Capital, LLC Faces SEC Securities Fraud Charges
:
Updated:
MF Global Holdings Ltd. Files for Bankruptcy While Its Broker-Dealer Faces Liquidation and Securities Lawsuit by SIPC
:
Updated:
FINRA Vows to Step Up Internal Compliance Procedures
:
Updated:
Shareholder Securities Lawsuit Against China North East Petroleum Holdings Ltd., is Dismissed by District Court
:
Updated:
Long Island Rail Road Disability Fraud Leads to 11 People Charged
:
Updated:
Money Laundering Charges Filed Against of Houston Criminal Defense Lawyer Accused of Defrauding Defendants of Over $1M
:
Updated:
Boogie Investment Group Inc. Fails Because of Fraudulent Private Placements by Provident Royalties LLC and Medical Capital Holdings Inc.
:
Updated:
Retirement Fund’s CDO Lawsuit Against Morgan Stanley is Dismissed by District Court
:
Updated:
Ex-Goldman Sachs Director Rajat Gupta Pleads Not Guilty to Insider Trading Charges
:
Updated:
UBS Fined $12M for Supervisory Failures and Regulation SHO Violations in Securities Short Sales
:
Updated:
Citigroup Global Markets Inc. Sues Two Saudi Investors in an Attempt to Block Their FINRA Arbitration Claim Over $383M in Losses
:
Updated:
California Investigating Whether Bank of America & Countrywide Financial Used False Pretenses to Sell Mortgage-Backed Securities to Investors
:
Updated:
Citigroup to Pay $285M to Settle SEC Lawsuit Alleging Securities Fraud in $1B Derivatives Deal
:
Updated:
Ex-Lehman Brothers Holdings Chief Executive Defends Request that Insurance Fund Pay Legal Bills
:
Updated:
European Leaders Work to Get a Grip on Debt Crisis
:
Updated:
Dallas Mavericks Owner Mark Cuban’s Allegations of Misconduct Against the SEC Enforcement Staff are Without Merit, Says Inspector General’s Report
:
Updated:
SIFMA Offers Up Best Practices for How Financial Firms Can Interact with Expert Networks
:
Updated:
Galleon Group LLC Co-Founder Raj Rajaratnam Sentenced to 11 Years in Prison Over Insider Trading Scam
:
Updated:
SEC Issues Emergency Order to Stop $26M “Green” Ponzi Scam
:
Updated:
SEC Says Former United Commercial Bank Executives Concealed Millions of Dollars in Losses that Caused Bank’s Failure
:
Updated:
Merrill Lynch Faces $1M FINRA Fine Over Texas Ponzi Scam by Former Registered Representative
:
Updated:
Don’t Create Uniform Fiduciary Standard for Broker-Dealers and Investment Advisers, Say Some Republicans to the SEC
:
Updated:
FINRA Cannot Enforce Disciplinary Actions Through the Courts, Says Federal Appeals Court
:
Updated:
SEC & DOJ File Charges Against San Francisco Investment Adviser For Alleged “Soft Dollar” Fraud
:
Updated:
Two Texas Men Sentenced For $100 Million Life Settlement Scam that Bilked Over 800 Investors
:
Updated:
Govt.’s Mortgage-Backed Securities Case Against JPMorgan Case Leads to Lawsuit Against 23 Former Washington Mutual Employees
:
Updated:
Prospective Securities Class Action Lawsuit Accuses David Lerner Associates Inc. Accused of Recycling Investor Capital and Using a Credit Line to Meet Dividend Payout
:
Updated:
Standard & Poors Receives SEC Wells Notice Over CDO Rating
:
Updated:
New Jersey Investment Adviser Who Pleaded Guilty to $11.5M Financial Fraud Gets 168-Month Prison Sentence
:
Updated:
EagleEye Asset Management LLC Sued by SEC and CFTC for Alleged Forex Trading Scam
:
Updated:
Class Action Securities Case Accusing SunTrust Banks of Faulty Financial Disclosures Can Proceed
:
Updated:
Measure Banning Insider Trading Gains Support of Congress Members
:
Updated:
Some of the SEC Charges Against Investment Adviser Over Alleged Involvement In J.P. Morgan Securities LLC Collateralized Debt Obligation Are Dismissed
:
Updated:
UBS Trader Charged with Fraud Related to $2B Trading Loss
:
Updated:
SEC Chairman Criticized For Allowing Ex-Commission Official that Benefited from the Bernard Madoff Ponzi Scam to Help Craft Policy Regarding Victims’ Compensation
:
Updated:
Financial Scammers Are Now Using YouTube, Facebook, LinkedIn, Twitter, and Other Websites to Target Investors, Warns Texas Securities Commissioner
:
Updated:
SEC Proposes Restricting Financial Firms From Betting Against Financial Products Sold to Investors
:
Updated:
Morgan Stanley Smith Barney Employee Fined and Suspended by FINRA Over Unauthorized Signatures
:
Updated:
Broker-Dealer Pacific West Securities Closes Shop
:
Updated:
Morgan Stanley Faces $1M FINRA Fine for Excessive Markups and Markdowns on Corporate and Municipal Bond Transactions
:
Updated:
Five Broker-Dealers Fined by FINRA Over Allegedly Misrepresenting Commissions as Fees to Clients
:
Updated:
President Obama Supports Senate Bill Raising SEC Registration Exemption to $50M
:
Updated:
SEC Looking at Other Ways to Communicate with Whistleblowers
:
Updated:
FINRA Tells Congress It Is Ready to Act as SRO for Investment Advisors
:
Updated:
Man Allegedly Involved in Texas Securities Fraud Scam that Bilked Over 7,000 Deaf Investors of $3.45M is Charged by the SEC
:
Updated:
SEC Spent $100K More Than Necessary By Failing to Follow Office of Personnel Management Guidelines In Director’s Hiring
:
Updated:
Claimant Not Only $100K Loses Securities Arbitration Case Against Citigroup Global Markets But Gets Stuck with Financial Firm’s $50K in Legal Bills
:
Updated:
Elder Investors Suffering From Alzheimer’s Make Perfect Targets for Securities Fraud
:
Updated:
Nevada Attorney General Goes After Bank of America for Allegedly Violating Countrywide Fraud Settlement
:
Updated:
“Investor’s Guide to Loss Recovery” Offers Key Information on How to Use Conflict Resolution to Get Your Assets Back
:
Updated:
Jefferson County, Alabama Votes to Settle its $3.14B Bond Debt with JPMorgan and Other Creditors
:
Updated:
Morgan Keegan & Company Ordered by FINRA to Pay $555,400 in Texas Securities Case Involving Morgan Keegan Proprietary Funds
:
Updated:
Wedbush Securities Ordered by FINRA to Pay $2.8M in Senior Financial Fraud Case Over Variable Annuities
:
Updated:
Whistleblower Claims SEC is Illegally Destroying Records of Closed Enforcement Cases
:
Updated:
FDIC Objects to Bank of America’s Proposed $8.5B Settlement Over Mortgage-Backed Securities
:
Updated:
Ex-Bank of America Employee Pleads Guilty to Mortgage Fraud Scam Using Stolen Identities to Buy Homes Not For Sale
:
Updated:
SEC Charges Filed in $22M Ponzi Scam that Targeted Florida Teachers and Retirees
:
Updated:
$63 Million Mortgage-Backed Securities Lawsuit Against Bank of America is Second One Filed by Western and Southern Life Insurance Co. Against the Financial Firm
:
Updated:
Texas Securities Fraud: FINRA Fines Bluechip Securities for Ex-Employee’s Alleged Churning of Public Customer Accounts
:
Updated:
Raymond James Settles Auction-Rate Securities Case with Indiana Securities Division for $31M
:
Updated:
Financial Industry Regulatory Authority Alerts Investors About Gold Stock Scams
:
Updated:
Goldman Sachs CEO Hires Prominent Defense Attorney in the Wake of Justice Department Probe into Mortgage-Backed Securities
:
Updated:
California Insider Trading Charges Filed by SEC Against Ex-Investment Fund Associate Accused of Making 3000% Profit on Marvel Call Options in Disney Acquisition
:
Updated:
NCUA Sues Goldman Sachs for $491M Over $1.2B of Mortgage-Back Securities Sales That Caused Credit Unions’ Failure
:
Updated:
Texas Securities Fraud: Ex-Triton Financial CEO Convicted of Ponzi Scam that Bilked Ex-Heisman Trophy Winner Ty Detmer, Other Former NFL Players, and Hundreds of Other Investors of of Millions
:
Updated:
Insider Trading: Former FrontPoint Partners Hedge Fund Manager Pleads Guilty to Criminal Charges
:
Updated:
Allstate Files Securities Fraud Lawsuit Against Goldman Sachs Over More Than $123M of Mortgage-Backed Securities
:
Updated:
8/31/11 is Deadline for Opting Out of $100M Oppenheimer Mutual Funds Class Action Settlement
:
Updated:
Citigroup Global Markets Fined $500,000 by FINRA for Inadequate Supervision of Broker Accused of Bilking Sick and Elderly Investors
:
Updated:
Morgan Stanley Reports a Possible $1.7B in Mortgage-Backed Securities Losses
:
Updated:
CapWest Loses $940,000 Dallas Securities Case in FINRA Arbitration
:
Updated:
AIG Files $10 Billion Mortgage-Backed Securities Lawsuit Against Bank of America
:
Updated:
Investors Working with Incompetent Registered Investment Advisers Have Few Protections, Reports Bloomberg
:
Updated:
Stifel, Nicolaus & Co. and Former Executive Faces SEC Charges Over Sale of CDOs to Five Wisconsin School Districts
:
Updated:
SEC Charges Filed Against Stifel, Nicolaus & Co. and Former Sr. VP David Noack Over CDO Sales to Wisconsin School Districts
:
Updated:
Texas Securities Fraud: Insurance Agent Could Get 100 Years Behind Bars for Using Fraudulent Annuities to Bilk Elderly Seniors of Over $5M
:
Updated:
Investors in Oppenheimer Mutual Funds Considering Opting Out of $100M Class Action Settlement Have Until August 31
:
Updated:
SEC’s Proxy Access Rule is Rejected by Appeals Court
:
Updated:
SEC’s Retroactive Approach to Its Proposed Reg D ‘Bad Actor’ Rule Draws Criticism From Law Firms
:
Updated:
Accused Texas Ponzi Scammer May Have Defrauded Investors of $2M
:
Updated:
Democrats Call for Shareholder Approval of Corporate and Political Spending
:
Updated:
Advisory Performance Fee Rule Limit Adjusted by the SEC
:
Updated:
Houston Securities Fraud: Ex-Citigroup Broker Accused of Stealing Millions from Wealthy Mexican Investors is Barred from FINRA
:
Updated:
SEC and SIFMA Divided Over Whether Merrill Lynch Can Be Held Liable for Alleged ARS Market Manipulation
:
Updated:
Broker-Dealers are Making Reverse Convertible Sales That are Harming Investors, Says SEC
:
Updated:
Whistleblowers to Be Awarded from $453 Million SEC Fund
:
Updated:
$629M Mortgage-Backed Securities Lawsuit Blames RBS Securities and Other Financial Firms For Bankruptcy of Western Corporate Federal Credit Union in 2009
:
Updated:
$75K FINRA Arbitration Award Against Wells Fargo Advisors LLC For Defaming an Ex-Employee in Form U-5 is Confirmed by District Court
:
Updated:
Harvest Managers, Benchmark Asset Managers, and Investment Advisor to Pay $11.6 Million to Settle SEC Charges Over Allegedly Mishandled Client Funds
:
Updated:
New Bill Calls for Whistleblowers to Notify Financial Firms of Alleged Violations
:
Updated:
Federal Home Loan Banks Say Countrywide Financial Corp Mortgage Bond Investors May Be Owed Way More than What $8.5B Securities Settlement with Bank of America Corp. is Offering
:
Updated:
Janney Montgomery Scott LLC to Pay $850K to Settle Securities Charges Over Alleged Failure to Prevent Inside Trading
:
Updated:
Ex-Morgan Stanley Trader’s $25k Settlement Over Alleged Concealment of Proprietary Trades is Inadequate, Says SEC Commissioner Aguilar
:
Updated:
Basketball Benefactor Accused of Texas Securities Fraud and Ponzi Scam that Targeted High-Profile Coaches Found Dead
:
Updated:
Wells Fargo Settles Mortgage-Backed Securities Class Action Case for $125M
:
Updated:
Holding Brokers to Investment Adviser Accountability Standards is a Bad Idea, Say Some Wall Street Executives
:
Updated:
Wedbush Ordered By FINRA Panel To Pay $3.5M to Trader Over Withheld Compensation
:
Updated:
FINRA Panel Orders Merrill Lynch Professional Clearing Corporation to Pay $64M Over Losses Sustained by Rosen Capital Institutional LP and Rosen Capital Partners LP
:
Updated:
Ex-UBS Financial Adviser Pleads Guilty to Defrauding Private Fund Investors
:
Updated:
GSA Expected to Take Over SEC Leasing System Following Flawed $551M Deal, Says Chairman Schapiro
:
Updated:
Ban on Private Securities Offerings Solicitations Could Be Revised by SEC or Congress, Says Ex-Official
:
Updated:
JPMorgan Chase to Pay $211M to Settle Charges It Rigged Municipal Bond Transaction Bidding Competitions
:
Updated:
Securities Fraud Plaintiffs Don’t Have to Show Loss Causation to Obtain Class Action Status, Rules US Supreme Court
:
Updated:
Two Years of Wall Street Executives’ Pay To Be Seized For Role Played in a Financial Firm’s Collapse, Says FDIC
:
Updated:
Former Texas Securities Regulator Says Self-Regulation of Securities Industry Does Not Work
:
Updated:
Allstate Files Mortgage-Backed Securities Fraud Lawsuit Against Morgan Stanley
:
Updated:
Most Investors Ignore Prospectus for Variable Annuities, Reports IRI
:
Updated:
$750,000 Arbitration Award Against Stone & Youngberg LLC Confirmed by District Court
:
Updated:
Sonoma Valley Bank Shareholders File Both a Class Action Lawsuit and An Insurance Claim Seeking to Recoup Millions
:
Updated:
Morgan Keegan Settles Subprime Mortgage-Backed Securities Charges for $200M
:
Updated:
Washington Mutual Bank Bondholders’ Securities Fraud Lawsuit Against J.P. Morgan Chase & Co. is Revived by Appeals Court
:
Updated:
JP Morgan Chase Agrees to Pay $861M to Lehman Brothers Trustee
:
Updated:
Ex-Colonial Bank Chairman is Sentenced to 30 Years in Prison Over $2.9B Bank Fraud
:
Updated:
Texas Securities Fraud: Planmember Securities Corp. Registered Representatives Accused of Improperly Selling Life Settlement Notes
:
Updated:
Mortgage-Backed Securities Lawsuit Against Bank of America’s Merrill Lynch Now a Class Action Case
:
Updated:
Bank of America Cop. (BAC)’s Merrill Lynch a Defendant of Class-Action Mortgage-Backed Securities Lawsuit Against at Least 1,800 Investors
:
Updated:
Bill Funding SEC at $1.185B for Fiscal Year 2012 Approved by House Committee
:
Updated:
“Poohster” Consultant Found Guilty of Insider Trading
:
Updated:
National Credit Union Administration Board Files $800M Mortgage-Backed Securities Fraud Lawsuits Against JP Morgan Securities, RBS Securities, and Other Financial Institutions
:
Updated:
Texas Minister Pleads Guilty to Involvement in $7.2M “White Hat Guys” Securities Fraud that Bilked Thousands of Petro America Corporation Investors in the US and Canada
:
Updated:
Morgan Stanley, Barclays, and Merrill Lynch Lose ‘Hot News’ Misappropriation Case Against Theflyonthewall.com Inc. in Appeals Court
:
Updated:
Federal Law Preempts Claims that Morgan Stanley Smith Barney LLC’s Insider Trading Detection Policies are Unlawful Under California Statutes, Says District Court
:
Updated:
JP Morgan Settles for $153.6M SEC Charges Over Its Marketing of Synthetic Collateralized Debt Obligation
:
Updated:
Securities Fraud: Mutual Funds Investment Adviser Cannot Be Sued Over Misstatement in Prospectuses, Says US Supreme Court
:
Updated:
Texas Foreign Currency Trader and Developer of “Alpha One” Convicted of Securities Fraud
:
Updated:
Credit Suisse Ordered to Pay STMicroelectronics N.V. $404M Over Improper ARS Investment
:
Updated:
MBIA Can Sue Morgan Stanley Over Alleged Misrepresentation of MBS Risks, Says US New York Supreme Court
:
Updated:
Ex-Morgan Stanley Trader to Settle SEC Unauthorized Swaps Trading Claims for $150,000
:
Updated:
Houston Securities Arbitration: FINRA Panel Orders Penson Financial Services, Inc. to Pay Boushy North Investments, Ltd. $500,000
:
Updated:
US Supreme Court Declines Review of Appeals Court Rulings Involving Issues of Antifraud Liability and Institutional Investment Managers’ Disclosure Obligations
:
Updated:
SEC Examining Whether Goldman Sachs Violated Bribery Laws When Dealing with Libya’s Sovereign-Wealth Fund
:
Updated:
SEC Approves Proposed FINRA Rule Change Subjecting Back Office Personnel of Broker-Dealers to Registration and Qualification Examination Requirements
:
Updated:
David Lerner & Associates Ignored Suitability of REITs When Recommending to Investors, Claims FINRA
:
Updated:
Northern Trust Securities Agrees to $600,000 FINRA Fine Over Charges It Failed to Properly Monitor High-Volume Securities Trades and CMO Sales
:
Updated:
FINRA Wants Brokers Selling Regulation D Private Placements to Take Part in Tougher Due Diligence Process
:
Updated:
District Court in Texas Decides that Credit Suisse Securities Doesn’t Have to pay Additional $186,000 Arbitration Award to Luby’s Restaurant Over ARS
:
Updated:
District Court Wants to Know Why FINRA Arbitration Panel Denied Freecharm Ltd.’s Securities Fraud Claim Against One Atlas Financial Group LLC
:
Updated:
Goldman Sachs Subpoenaed Over Financial Crisis
:
Updated:
SEC and FINRA Alerts Retail Investors About Structured Notes with Principal Protection
:
Updated:
New Bill Would Strengthen the US Justice Department’s Ability to Prosecute Fraud
:
Updated:
Muni Debt Reform: SEC to Proceed with Field Hearing in Alabama
:
Updated:
SEC to Propose Rule Banning “Felons and Bad Actors” From Involvement in Private Offerings
:
Updated:
Winell Associates Inc., Maxi Partners GP, and Howard Winell Settle CTFC Charges Accusing Them of Misappropriating Funds and Unauthorized Trading of Over $5.2M
:
Updated:
Court Refuses McGinn Smith & Co. Owners’s Request that It Stay the FINRA Disciplinary Proceedings Until The Related SEC Civil Action Against Them Ends
:
Updated:
Day Trader Pleads Guilty to Securities Fraud Charges Related to Insider Trading Scam
:
Updated:
Goldman Sachs and Wells Fargo Investments Repurchase $26.9M in Auction-Rate Securities from New Jersey Investors
:
Updated:
SEC to Up Dollar Thresholds for When an Investment Adviser Can Charge Investors Performance Fees
:
Updated:
SEC Has Lax Revolving Door Policy, Says POGO
:
Updated:
Texas Securities Commissioner’s Emergency Cease and Decease Order Accuses Insignia Energy Group Inc. of Misleading Teachers
:
Updated:
Five Ex-Brooke Executive Settle SEC Fraud Charges Accusing Them of Concealing Financial Firm’s Deteriorating Finances
:
Updated:
Securities Practices of JPMorgan Chase & Goldman Sachs Under Investigation by Federal Investigators
:
Updated:
Ambac Financial Group, Insurers, and Bank Underwriters to Pay $33M to Settle Securities Lawsuits Alleging Concealed Risks Related to its Bond-Insurance Business
:
Updated:
UBS Financial Reaches $160M Settlement with the SEC and Justice Department Over Securities Fraud, Antitrust, and Other Charges Related to Municipal Bond Market
:
Updated:
Texas-Based AIG’s Largest Private Shareholder Says US Will Likely Sell Its Shares in the Insurer At Lower Price than Expected
:
Updated:
Wells Fargo Advisors LLC Agrees to $1 Million FINRA Fine for Securities Charges Related to Mutual Fund Prospectus Delivery
:
Updated:
Madoff Trustee Files Securities Lawsuit Against Safra National Bank of New York Seeking to Recover Almost $111.7M for Ponzi Scam Investors
:
Updated:
Derivative Use by Investment Companies Will be Harder to Oversee in Coming Years, Warns SEC Official
:
Updated:
SEC ALJ Finds Several Brokers Liable for Unlawful Penny Stock Sales
:
Updated:
Commodity Options Fraud Charges by CFTC Prompts District Court to Freeze Assets and Records of 20/20 Trading Co. Inc. & 20/20 Precious Metals Inc.
:
Updated:
Whistleblower Lawsuit Claims Taxpayers Were Defrauded When Federal Government Bailed Out Houston-Based American International Group in 2008
:
Updated:
Lancer Management Group LLC Hedge Fund Manager Acquitted of Charges He Ran Market Manipulation Scam
:
Updated:
AG Edwards & Sons (Wells Fargo Advisors) to Settle Securities Charges it Sold Variable Annuities that Lacked Proper Documentation to Elderly Clients
:
Updated:
Morgan Stanley & Co. and TD Ameritrade Inc. to Repurchase Over $338M in Auction Rate Securities from New Jersey Investors
:
Updated:
Tribune Bondholders Can Sue Shareholders for Over $8.2B
:
Updated:
Lincoln Financial Advisors Corp. Ordered by FINRA to Pay Wright Family Trust $1.6M
:
Updated:
SEC is Finalizing Its Whistleblower Rules, Says Chairman Schapiro
:
Updated:
Texas Commodity Trading Advisor FIN FX LLC Now Subject to NFA Emergency Enforcement Action
:
Updated:
Ameriprise to Sell Securities America Even as it Finalizes Securities Settlement with Investors of Medical Capital Holdings and Provident Royalties Private Placements
:
Updated:
AIG Trying to Get More Investors to Buy Life Settlements
:
Updated:
Morgan Keegan Ordered by FINRA to Pay RMK Fund Investors $881,000
:
Updated:
Securities Lawsuits Expected to Reach Record High in ’11, Says Advisen Ltd. Report
:
Updated:
Citigroup Chair Says Bank’s Crisis is Over
:
Updated:
Auction-Rate Securities Investigations by SEC and NY Attorney General Are Ongoing
:
Updated:
Anschutz Corp.’s Securities Fraud Lawsuit Against Deutsche Bank and Credit Rating Agencies Over Their Alleged Mishandling of Auction-Rate Securities Can Proceed, Says District Court
:
Updated:
Investments Advisers Told to Look at Recent SEC Enforcement Actions When Preparing for Exams
:
Updated:
Texas Securities Fraud: FINRA Suspends Pinnacle Partners Over Failure to Comply with Temporary Cease and Desist Order Involving “Boiler Room” Operation
:
Updated:
Ex-Goldman Sachs Board Member Accused of Insider Trading with Galleon Group Co-Founder Seeks to Have SEC Administrative Case Against Him Dropped
:
Updated:
SEC Charges Subprime Auto-Loan Provide Inofin Inc. with Securities Fraud
:
Updated:
“Skin in the Game” Mortgage Rule Announced by Federal Regulators
:
Updated:
FINRA Orders UBS Financial Services to Pay $8.25M for Misleading Investors About Security of Lehman Brothers Principal Protected Notes
:
Updated:
Goldman Sachs Group Made Money From Financial Crisis When it Bet Against the Subprime Mortgage Market, Says US Senate Panel
:
Updated:
Citigroup Ordered by FINRA to Pay $54.1M to Two Investors Over Municipal Bond Fund Losses
:
Updated:
Pump & Dump Scam Alleged in $600 Million Lawsuit Against Law Firm Baker & McKenzie
:
Updated:
UBS Financial Services Fined $2.5M and Ordered to Pay $8.25M Over Lehman Brothers-Issued 100% Principal-Protection Notes
:
Updated:
Texas Securities Fraud Lawsuit Against MetroPCS Communications is Dismissed
:
Updated:
No Need for New SRO Overseeing Investment Advisers, Says NASAA Official to Congress
:
Updated:
FINRA Will Customize Oversight to Investment Adviser Industry if Chosen as Its SRO
:
Updated:
Dodd-Frank Reforms Will Lower Deficit by $3.2B Over the Next Decade, Estimates CBO
:
Updated:
Dow Corning Corp.’s $165M Securities Fraud Lawsuit Against Merrill Lynch & Co. Can Proceed, Says District Court Judge
:
Updated:
Wells Fargo Settles SEC Securities Fraud Allegations Over Sale of Complex Mortgage-Backed Securities by Wachovia for $11.2M
:
Updated:
Texas Securities Fraud: SEC Charges Talk Radio “MoneyMan” Over Promissory Note Offerings
:
Updated:
Motion to Dismiss SEC Lawsuit Accusing Dallas Billionaire Brothers of $500,000 Securities Fraud Denied
:
Updated:
Number of Securities Class Action Settlements Reached in 2010 Hit Lowest Level in a Decade, Says Report
:
Updated:
AIG Reorganizes Property and Casualty Insurer Chartis
:
Updated:
Venezuelan Workers Fall Victim to Francisco Illarramendi’s Ponzi Scam
:
Updated:
Impartiality of SEC Report by Boston Consulting Group Questioned by Key House Republicans
:
Updated:
SEC Securities Settlements Often Don’t Come with Admission of Wrongdoing
:
Updated:
FINRA Panel Orders Wedbush Securities to Pay $233,000 in Securities Fraud Damages
:
Updated:
Prison Term for Broker Accused of Investment Fraud Affirmed by 7th Circuit Even Though Sentence Exceeds Guidelines
:
Updated:
FINRA Wants Amerivet Securities Inc.’s Lawsuit Seeking to Inspect the SRO’s Records Dismissed
:
Updated:
Reductions to SEC’s Budget Will Cause Staff Furloughs, Says Schapiro
:
Updated:
FBI Arrests Texas Leader of Pump-and-Dump Scheme
:
Updated:
Juno Mother Earth Asset Management LLC and Its Founders Face SEC Securities Fraud Lawsuit Over Alleged $1.8M Looting of Hedge Fund Assets
:
Updated:
$277 Million Verdict Against Apollo Group for Alleged Misstatements to Investors Upheld by US Supreme Court
:
Updated:
FINRA Chief Ketchum Says Securities Regulators Worried Whether Investors Betting on High-Yield Corporate Bonds Really Know What They Are Getting Into
:
Updated:
Dallas-Based Southwest Securities Settles for $500,000 FINRA Charges It Improperly Used Paid Consultants
:
Updated:
Michael Kenwood Capital Management, LLC Principal Pleads Guilty to Securities Fraud Involving Ponzi Scam
:
Updated:
Morgan Keegan & Co. Inc. Must Pay $250K to Couple that Lost Investments in Hedge Fund with Ties to Bernard L. Madoff Investment Securities
:
Updated:
SEC Needs to Keep a Closer Eye on FINRA, Says Report
:
Updated:
SEC Files Securities Charges Against DHB Industries and Three Ex-Board Members
:
Updated:
FINRA Orders Charles Schwab to Pay $18M to Fair Fund for YieldPlus Investors
:
Updated:
Wall Street Targeting Older Investors With Structured Product Sales, Reports AARP
:
Updated:
Countrywide Finance. Corp, UBS Securities LLC, and JPMorgan Securities LLC Settle Mortgage-Backed Securities Lawsuit Filed by New Mexico Institutional Investors for $162M
:
Updated:
Texas Congressmen Seek Answers from SEC Chairwoman Regarding Conflict of Interest Related to Madoff Debacle
:
Updated:
Securities Lawsuit Accusing Merrill Lynch of Facilitating Sale of Mortgage-Backed Securities to King County, Washington Can Proceed, Says Court
:
Updated:
SROs Immune from Broker-Dealer’s Lawsuit Over Bylaw Changes Related to Creation of FINRA, Says Appeals Court
:
Updated:
Ameriprise Financial Inc. to Pay $27M to Settle Securities Fraud Lawsuits of Securities America Clients Bilked in Ponzi Scams
:
Updated:
Akamai Technologies Inc’s ARS Lawsuit Against Deutsche Bank Can Proceed
:
Updated:
Goldman Sachs Reports $3.4 Billion in “Reasonably Possible” Losses from Legal Claims
:
Updated:
China-Based Hackers Broke into Morgan Stanley Network, Reports Bloomberg
:
Updated:
Worst-Case Scenario Losses for JP Morgan & Chase May Be As High as $4.5 Billion
:
Updated:
Ex-Wextrust Capital COO Pleads Guilty to Role in $255M Affinity Fraud Scam
:
Updated:
Alleged Pump and Dump Stock Manipulation Scam Leads to Indictment of Six, Including a Securities Attorney
:
Updated:
FINRA Fines Bank of America Corp.’s Merrill Lynch $500,000 Over Alleged Oversight Failures of 529 Plans
:
Updated:
Kentucky Workers’ Compensation Funding Commission Paid Morgan Stanley Smith Barney $510,000 for Financial Advice, Says Auditor
:
Updated:
Texas Securities Fraud: Three FINRA Cases Against Securities America Over Sale of Private Placements Halted
:
Updated:
Order to Freeze Assets in $53M Fund Fraud Allegedly Involving Michael Kenwood Asset Management LLC Obtained by SEC
:
Updated:
MSRB Seeks Public Comment on New Fiduciary Duty Rule for Municipal Advisors
:
Updated:
Ex-Gilford Securities Broker Indicted in International Stock Fraud Scam Involving Pump and Dump of Israeli and Chinese Securities
:
Updated:
$18M Credit Default Swap Case Against Merrill Lynch International Reinstated
:
Updated:
Ex-Triton Financial CEO Accused of Using NFL Contacts to Commit $50M Texas Securities Fraud
:
Updated:
Ex-Goldman Sachs Broker’s Request for SEC Help in Obtaining Documents from Germany Denied by District Court
:
Updated:
Money Market Fund Portfolio and “Shadow NAV” Information Now Available to the Public, Says SEC
:
Updated:
Ex-UBS Employee Can Proceed with Her Whistleblower Claim, Says District Court
:
Updated:
TD Ameritrade Inc. Settles SEC Securities Fraud Charges Over Reserve Yield Plus Fund Shares for $10M
:
Updated:
SEC Approves FINRA’s Proposal to Give Investors an All-Public Arbitration Panel Option
:
Updated:
Credit Suisse Broker Previously Convicted for Selling High Risk ARS is Barred from Future Securities Law Violations
:
Updated:
AXA Rosenberg Entities Settle Securities Fraud Charges Over Computer Error Concealment for Over $240M
:
Updated:
CalPERS Files Securities Fraud Lawsuit Against Lehman Brothers
:
Updated:
SEC to Examine Muni Bond Market Issues During Hearings in Texas and Other States
:
Updated:
QA3 Financial Corp. Notifies Its Brokers It is Closing Its Doors
:
Updated:
The 2008 Financial Crisis was Avoidable, Says FCIC
:
Updated:
Commodities Industry Fears being held to Regulatory Standards of Securities Industry
:
Updated:
Insurer Claims that JP Morgan and Bear Stearns Bilked Clients Of Billions of Dollars with Handling of Mortgage Repurchases
:
Updated:
Fontana Capital LLC Founder Violated Short-Selling Rule, Says SEC
:
Updated:
Financial Fraud Verdict: Jury Orders BDO Seidman to Pay Aviation Pioneer George Batchelor’s Estate and Foundation $91M
:
Updated:
SEC Staff Wants an SRO to Oversee Investment Advisers
:
Updated:
Documents in Case of Ex-Oppenheimer Manager Who Was Fired for Cooperating with Elder Financial Fraud Probe Shed Some Light on What Goes on in Private Arbitration
:
Updated:
Yet Another Securities Case Against a Financial Firm Alleged to Have Aided Enron in its Scams is Dismissed Without Liability in Texas!
:
Updated:
SEC Adopts New Rules Regarding Shareholder Say-On-Pay
:
Updated:
Guilty Plea for Financial Adviser Who Used UBS Tips in $1M Healthcare Insider Trading Scheme
:
Updated:
Do Brokers Owe a Fiduciary Duty to Clients?
:
Updated:
SEC Proposes New Rule to Verify Swap Transactions
:
Updated:
Even as Ponzi Schemers Serve Time Behind Bars, Investors Are Left Coping with Millions in Financial Losses
:
Updated:
44% of Insider Traders Convicted of Insider Trading in New York Manage to Get Out of Jail Before Even Serving Time
:
Updated:
Ex-Portfolio Managers to Pay $700K to Settle SEC Charges that They Defrauded the Tax Free Fund for Utah
:
Updated:
Bank of America Settles for $4.25M New York Securities Fraud Allegations that Merrill Lynch & Co. Inc. Hid Subprime Mortgage Risks from Investors
:
Updated:
Texas Securities Act Control Person Claims against Merrill Lynch Pierce Fenner & Smith Inc. is Revived by Appeals Court
:
Updated:
CFTC Files Charges in Alleged California Ponzi Scam Involving the Fraudulent Solicitation of $14 million in Commodity Futures
:
Updated:
JPMorgan Chase & Co. CEO Warns Municipal Bond Investors to Expect More Bankruptcies
:
Updated:
Schwab Settles for $119M SEC Charges It Allegedly Misled YieldPlus Fund Investors
:
Updated:
Securities Fraud Lawsuit Against UBS Securities LLC by Detroit Pension Funds Won’t Be Remanded to State Court, Says District Court
:
Updated:
Broker Settles SEC Charges He Defrauded Elderly Nuns
:
Updated:
SEC Extends Temporary Rule Allowing Principal Trades by Investment Advisers Registered as Broker-Dealers
:
Updated:
R. Allen Stanford’s Criminal Trial Over $7 Billion Ponzi Scam Delayed So He Can Detoxify from Medication Addiction
:
Updated:
Morgan Stanley Failed to Disclose Financial Adviser’s Felony Charge to FINRA, Claims Car Accident Victim’s Attorney
:
Updated:
Goldman Sachs Sued by ACA Financial Guaranty Over Failed Abacus Investment for $120M
:
Updated:
ALJ to Determine Whether to Revoke Registration of STS-Advisors Ltd. and Investment Adviser Representative Richard Lewis Bruce Over Alleged Texas Securities Fraud
:
Updated:
Securities America Inc. to Pay $1.2M in Compensatory and Punitive Damages Over Allegedly Fraudulent Medical Capital Notes
:
Updated:
School Districts Files Securities Fraud Lawsuit San Mateo County Over Lehman Brothers-Related Investment Losses
:
Updated:
UBS to Pay $2.2M to CNA Financial Head for Lehman Brothers Structured Product Losses
:
Updated:
Quadrangle Cofounder and CalPERS Partner Steven Rattner Settles NY Pension Fund Corruption Probe for $10M
:
Updated:
Financial Services Institute Wants FINRA to Serve as SRO for RIAs
:
Updated:
SEC’s Proposal on Implementing Whistleblower Rule Draws Mixed Reactions
:
Updated:
Claims over failed tax-avoidance scheme brought under Texas Securities and Federal Racketeering Laws Against Prominent Law Firm is Dismissed by Fifth Circuit
:
Updated:
Class Action Plaintiffs Dispute Bank of America’s $137M Settlement with State Attorney Generals Over Municipal Derivatives
:
Updated:
Wall Street and its Friends in Washington Want Congress to “Crawfish” on Financial Industry Regulatory Reforms
:
Updated:
Moody’s, Fitch, and Standard and Poor’s Were Exercising Their 1st Amendment Rights When They Gave Inaccurate Subprime Ratings to SIVs, Says Court
:
Updated:
Bank of America and Countrywide Financial Sued by Allstate over $700M in Bad Mortgaged-Backed Securities
:
Updated:
Ex-Financial Adviser Pleads Guilty to Unauthorized Trading Involving Disabled Children’s Assets
:
Updated:
Custodial Firms Get Tougher About Registered Investment Adviser Compliance
:
Updated:
US Supreme Court Declines to Review Finding that Investor is Bound to Arbitration Agreement Over Disputes with Questar Capital Corp.
:
Updated:
Wells Fargo & Co. May Have to Pay Another $15M to Minnesota Nonprofits For Securities Fraud
:
Updated:
Houston Man Indicted in Alleged $17M Texas Securities Fraud
:
Updated:
Ex-Goldman Sachs Employee Found Guilty of Stealing Code for High-Frequency Trading Activity
:
Updated:
Oppenheimer & Co. Ordered to Reveal Documents Related to Employee Dispute
:
Updated:
Merrill Lynch Doesn’t Have to Arbitrate ARS Claims by LSED, Says Appeals Court
:
Updated:
Analyst’s downgrade tanks Skechers’ stock (SKX). Should Wall Street analysts be immune from scrutiny?
:
Updated:
SEC Charges Two Ex-Wachovia Brokers Over Alleged $8 Million Elder Financial Fraud
:
Updated:
Why Whistleblowers Should Act Quickly and Consult Competent Legal Counsel
:
Updated:
Hedge Fund Owner of Trueblue Strategies LLC Settles SEC Charges that He Hid Investor Trading Losses
:
Updated:
A Texan is Among Those Arrested in Insider Trading Crackdown Involving Apple Inc., Dell, and Advanced Micro Devices’ Confidential Data
:
Updated:
Bank of America to Pay $137M Over Alleged Investment Scam To Pay Municipalities Low Interest Rates on Investments and $9M Over Alleged Bid-Rigging Scheme to Nonprofits
:
Updated:
Securities Fraud Lawsuit Seeks to Recover $49M From 96 Independent Broker-Dealers Liable Over Sales of Tenant-In-Common Exchanges
:
Updated:
Goldman Sachs & Co. Clearing Unit Must Pay Unsecured Creditors of Bayou Hedge Funds $20.5M FINRA Arbitration Award, Says District Court
:
Updated:
Ex-Smith Barney Adviser Pleads Guilty to Securities Fraud In $3.25M Scam to Bilk Citibank and Firm Clients
:
Updated:
SEC IG Investigating Whether Examiners Were Told by Regional Official to Ignore “Red Flags” Indicating Massive Fraud
:
Updated:
SEC Report Applauds Internal Reforms While Admitting to Control Problems
:
Updated:
The “New” SEC is Acting Just Like The “Old” SEC by Protecting the Securities Industry from Responsibility for its Actions
:
Updated:
Actions of Former Ferris, Baker Watts, Inc. General Counsel Accused of Supervising Rogue Broker to be Reviewed by SEC
:
Updated:
Texas Lawyer Pleads Guilty to Involvement in Alleged $100M Life Settlement Scheme
:
Updated:
Operation Broken Trust Investment Fraud Sweep Has Ended
:
Updated:
Class Members of Charles Schwab Corporation Securities Litigation Can Still Opt Out to File Individual Securities Claim
:
Updated:
Federal and State Securities Acts’ Anti-Waiver Provisions Did Not Bar International Forum Selection Clause’s Enforcement, Says Texas Court of Appeals
:
Updated:
Citigroup Seeking to Dismiss $11.6 Million Securities Arbitration Award to “Dallas” TV Star Larry Hagman
:
Updated:
Securities Fraud Lawsuit Against Citigroup Involving Mortgage-Related Risk Results in Mixed Ruling
:
Updated:
Compliance with 1934 Securities Exchange Act Reporting Requirements During Annual Broker-Dealer Audits is Key, Say SEC Officials
:
Updated:
Financial Firms File Securities Fraud Lawsuits Against Each Other Over 2008 Credit and Subprime Crisis
:
Updated:
Fiduciary Standard in Securities Industry Doesn’t Need New Definition
:
Updated:
3 Hedge Funds Raided by FBI in Insider Trading Case
:
Updated:
Class Action Securities Fraud Lawsuit Accuses SEC of Gross Negligence Related to Bernard Madoff Ponzi Scam
:
Updated:
Texas Securities Fraud: National Futures Association Takes Emergency Enforcement Action Against International Commodity Advisors and Its Principals
:
Updated:
SEC Proposes Antifraud Derivatives Rule Related to Securities-Based Swaps
:
Updated:
Non-Customers of Wachovia Cannot Bring Stock Loan Related Claim to FINRA, Says Court
:
Updated:
SEC Adopts Direct Access Rule Prohibiting “Naked” Access to ATSs or Exchanges
:
Updated:
LPL Financial Management and Private Equity Backers TPG and Hellman & Friedman Could Make Over $450M from IPO
:
Updated:
Final Regulation for Disclosure in Participant-Directed Individual Account Plans Issued by US Department of Labor
:
Updated:
Business Man Pleads Guilty Plea in Florida Microcap Market Fraud Case
:
Updated:
Failure of Municipal Swaps Cost Taxpayers $4 Billion
:
Updated:
Multimillion Texas Stock Sale Fraud Results in Multiple Indictments
:
Updated:
Goldman Sachs Ordered by FINRA to Pay $650K Fine For Not Disclosing that Broker Responsible for CDO ABACUS 2007-ACI Was Target of SEC Investigation
:
Updated:
Citigroup Global Markets to Pay Back $95.5M Over ARS Sold to LandAmerica Exchange Fund
:
Updated:
Investment Manager Accused of Securities Fraud Must Pay Defrauded Clients Over $20 Million
:
Updated:
Court Rejects Defendants’ Challenge to Poptech LP’s Lead Plaintiff Status in Class Securities Fraud Lawsuit
:
Updated:
“Flash Crash” – Why is This So Hard to Understand?
:
Updated:
Texas Securities Fraud: M25 Investments Inc., M37 Investments LLC, and Two Individuals Must Pay $16.2M Over Alleged Forex and Ponzi Scams
:
Updated:
Insider Trading: Likely on the Rise and Harder to Detect
:
Updated:
Investment Adviser Southridge Capital Management and Its Hedge Fund Manager Face SEC Securities Fraud Charges for Allegedly Overvaluing Portfolio Assets
:
Updated:
UBS Must Pay Couple $530,000 for Lehman Brothers-Backed Structured Notes
:
Updated:
San Diego Officials Settle SEC Municipal Bond Charges for $80,000
:
Updated:
Should Global Securities Fraud Lawsuits By Private Litigants Be Allowed? The SEC Wants To Know
:
Updated:
Texas Securities Fraud: Man Admits to $1.7 Million Investment Scam Involving Therapeutic Horseshoes
:
Updated:
Securities Claims Against Goldman Sachs Over Mortgage-Backed Certificates are Partially Dismissed by Court Due to Lack of Injury
:
Updated:
Ex-Employee Accuses Bank of America of Securities Fraud Involving Complex Derivatives Products
:
Updated:
Imperia Invest IBC’s Assets are Frozen Following SEC Allegations of British Viatical Settlements Scam That Targeted Deaf Investors
:
Updated:
Morgan Stanley’s Motion to Bar Ex-Hedge Fund Promoter Conrad Seghers from Pursuing FINRA Arbitration in Texas Securities Case is Granted by District Court
:
Updated:
Goldman Sach’s $550 Million Securities Fraud Settlement Not Tied to Financial Reform Bill, Says SEC IG
:
Updated:
NASAA Recommends Best Practices After Finding Brokers Deficient in Five Areas
:
Updated:
SEC Commissioner Luis Aguilar Encourages Agency Not to Refrain From Exercising Enforcement Powers from Dodd-Frank to Protect Investors
:
Updated:
Citigroup’s $75 Million Securities Fraud Settlement with the SEC Over Subprime Mortgage Debt Approved by Judge
:
Updated:
RBC Wealth Management Unit Ferris Baker Watts to Pay Investors Restitution Over Reverse Convertible Notes Allegations, Says FINRA
:
Updated:
Amendments to Russian Securities Law Aim to Enhance Transparency and Corporate Disclosure
:
Updated:
BP Oil Spill Payouts Recipients May Be Targeted by Investment Scam Fraudsters, Says SEC
:
Updated:
CFTC Judge Says Colleague Biased Against Investors with Complaints
:
Updated:
$35.2 Million Shareholder Settlement Against DHB Industries Overturned by Circuit Court
:
Updated:
Oregon Files Securities Fraud Lawsuit Against University of Phoenix Parent Company Apollo Group Inc. of Arizona
:
Updated:
Wall Street Complains Financial Reform Will Mean More Lawsuits. Is This Bad?
:
Updated:
SEC Charges Investment Adviser With Allegedly Making Unsuitable Hedge Fund Recommendations to Elderly Clients
:
Updated:
SEC Examines Proxy Advisory Firms
:
Updated:
UBS AG Motion to Dismiss Class Securities Case Test’s US Supreme Court’s Ruling Regarding Extraterritorial Transactions
:
Updated:
Most Investors Want Fiduciary Standard for Investment Advisers and Broker-Dealers, Say Trade Groups to SEC
:
Updated:
Broker-Dealers Press Clients to Settle Arbitration Claims, Says Illinois Securities Regulator
:
Updated:
Municipal Securities Investors Need More Information About Bond Purchases, Says SEC
:
Updated:
Lincoln Financial Advisors Corp. Ordered by FINRA to Pay $4.43M Over Alleged “Selling Away” Scheme to Investors
:
Updated:
FINRA Wants to Make All-Public Arbitration Panel for Investors Permanent
:
Updated:
Goldman Sachs International Fined $27M by UK’s FSA for Not Reporting SEC Investigation into Abacus 2007-AC1 Synthetic Collateralized Debt Obligation
:
Updated:
Morgan Keegan to Pay $9.2M to Investors in Texas Securities Fraud Case Involving Risky Bond Funds
:
Updated:
$2.6M Texas Securities Fraud Settlement: Hedge Fund Adviser Settles SEC Allegations Involving Violations Related to Improper Public Stock Offering Participation After Short Selling
:
Updated:
In Securities Fraud Case Against Morgan Stanley Pension Fund Doesn’t Have Standing to Bring Certain Claims, Says Court
:
Updated:
Ex-Ferris, Baker Watts, Inc. General Counsel Did Not Fail to Properly Supervise Broker Fraudster, Says SEC Judge
:
Updated:
NJ Settles Municipal Bond Offering Fraud Charges with SEC
:
Updated:
Wall Street Knew 28% of the Loans Behind Mortgage Backed Securities (MBS) Failed to Meet Basic Underwriting Standards
:
Updated:
Federal Judge to Approve Citigroup’s $75M Securities Settlement with SEC Over Bank’s Subprime Mortgage Debt Reporting to Investors
:
Updated:
SEC Examining Whether Investment Advisers of Alternative Investment Funds Have Sufficient Due Diligence Processes in Place
:
Updated:
Jefferson County, Alabama Officials Want JP Morgan Chase & Other Wall Street Creditors to Accept Proposal that Would Eliminate Almost Half of Its $3.2 Billion Sewer Debt
:
Updated:
Class Auction-Rate Securities Lawsuit Against Raymond James Financial Survives Dismissal
:
Updated:
Increase of Structured Notes with Derivatives Sales Seduces Retirees, Reports Bloomberg
:
Updated:
10th Circuit Issues Split Decision on Fees to Gemstar-TV Guide International Inc.
:
Updated:
Paper Offers Defenses Against Proxy Access Challenges
:
Updated:
Plan by FINRA and CHX to Re-Allocate Regulatory Tasks Approved by SEC
:
Updated:
Illegal High Frequency Trading: Trillium Brokerage Services LLC and 11 individuals agree to settle FINRA Charges for $2.27M
:
Updated:
Broker-Dealer Can Be Held Liable as Control Person if Ponzi Scammer is a Registered Representative, Says Eight Circuit
:
Updated:
FINRA Investigating Whether Broker-Dealers Providing Adequate Risk Controls to High-Frequency Traders
:
Updated:
Securities Fraud Lawsuit Against Calamos Investments Filed on Behalf of Calamos Convertible Opportunities and Income Fund Shareholders
:
Updated:
Former DHB Industries CEO and COO Found Guilty of Nearly $200M Securities Fraud Scam
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Standard and Poor’s Ratings Lawsuit to Go Forward, Says Judge
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Whistleblower Sues Moody’s Investors Service for Defamation
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Updated:
Allegations Against Goldman Sachs in $56M Securities Fraud Lawsuit Meet Morrison Standard, Says Australian Hedge Fund
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Goldman Sachs Permanently Exempted from Company Act Disqualification Provision, Says SEC
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Three Houston Men Accused of $103 Million Texas Securities Fraud Involving Life Insurance Scam that Victimized at Least 800 Investors
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Updated:
Morgan Stanley, UBS, Wells Fargo, and Merrill Lynch Recruit Other Investment Firms’ Brokers
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US Closed-End Funds Continue to Hold $26.4 Billion in Auction-Rate Preferred Shares, Says Fitch Ratings
:
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Municipal Securities Rulemaking Board Can Expand Public Information on Municipal Variable Rate Demand Obligations and Auction Rate Securities, Says SEC
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Updated:
Charles Schwab & Co. Defendant in Class-Action Securities Fraud Lawsuit Filed on Behalf of Schwab Total Bond Market Fund Investors Over CMOs and Mortgage-Backed Securities
:
Updated:
Raymond James Loses Texas Auction Rate Securities Case and is Ordered by FINRA to Pay Couple $925K
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Updated:
Eaton Vance and Closed-End Trusts Sued for Breach of Fiduciary Duty Related to Redemption of Auction Preferred Securities
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Raymond James Must Pay $925,000 Over Auction-Rate Securities Dispute
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Former Bank of America CEO Denies Allegations of Securities Fraud During Merrill Lynch Acquisition
:
Updated:
Zions Direct Inc. to Pay $225K for FINRA Securities Fraud Charges Related to CD Auctions
:
Updated:
Combatting Elder Financial Fraud: SEC, NASAA, & FINRA Update Their Best Practices to Protect Senior Investors
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Updated:
Investors File Texas Securities Fraud Lawsuit Against Ernst & Young
:
Updated:
HSBC Securities to Pay $375K to Settle FINRA Allegations that It Recommended Unsuitable Collateralized Mortgage Obligations to Retail Clients
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John Gardner Black Responds to Stories Recently Published Concerning His Role in an SEC Securities Fraud Action.
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Updated:
Investors Seek Recovery of Losses in Oppenheimer Champion Income Fund, Oppenheimer Rochester National Municipal Bond Fund and Nuveen High Yield Municipal Bond Fund
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Bank of America Merrill Lynch to Settle UIT Sales-Related FINRA Charges for $2.5 Million
:
Updated:
Investment Fraud Victims of John Gardner Black May Be Due Tax Refunds
:
Updated:
Texas Securities Fraud Incidents on the Rise, Say State Officials
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Updated:
Oppenheimer Champion Income Fund Resulted In Significant Financial Losses for Investors from Citigroup, UBS, Merrill Lynch, and Other Large Financial Firms
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Structured Notes Becoming New “Investment Bubble” on Wall Street, says Institutional Risk Analytics Director
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UBS Ordered to Pay Auction-Rate Securities Investor Kajeet Inc. $81 Million
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CIT Group Inc, Prudential Financial Inc., and GMAC Inc. Looked to Retirees for Debt Financing When They Lost Access to Credit Markets
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Life Settlements or Viaticals should be Considered “Securities,” Recommends the SEC to Congress
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Citigroup Settles Subprime Mortgage Securities Fraud Claims for $75 Million
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Updated:
Dallas Billionaire Brothers Charged with Texas Securities Fraud
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Goldman Sachs Settles SEC Subprime Mortgage-CDO Related Charges for $550 Million
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Wall Street Whistleblowers May Be Eligible to Collect 10 – 30% of Money that the Government Recovers
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Updated:
Raymond James Ordered to Buy Back $2.5M in ARS by FINRA
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Motion for Class Certification in Lawsuit Against J.P. Morgan Securities Inc. Over Alleged Market Manipulation Scam Granted in Part by Court
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Securities Class Action Against Morgan Stanley by Xerox and Kodak Retirees Dismissed by Appeals Court
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SEC Settles Wrongful Termination Lawsuit with Whistleblower Gary Aguirre for $755,000
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Goldman Sachs COO Says Investment Firm Shorted 1% of CDOs Mortgage Bonds But Didn’t Bet Against Clients
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Updated:
Morgan Stanley Settles Massachusetts Lending Case for $102 Million
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Refusal to Grant Prevailing Party of Securities Fraud Case Attorneys’ Fees and Costs is Affirmed by Appeals Court
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France and Germany Press EU to Ban Naked Short Selling of Stocks and Limit Credit Default Swaps
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Court Orders Southridge Partners Limited Partnership Dispute to Arbitration
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Texas Securities Fraud Alleged in SEC Lawsuit Against Former Advanced Materials Group Inc. CFO
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No Criminal Cases Yet Against Wall Street Banks Despite Obama Administration’s Vow To Go After Those Responsible for Financial Crisis
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Texas Attorney General Candidate Barbara Ann Radnofsky Says State Should File Securities Fraud Lawsuit Against Wall Street Firms
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Freddie Mac and Fannie May Drop After They Delist Their Shares from New York Stock Exchange
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As BP Oil Spill Reaches Crisis Mode, A Number of Wall Street Analysts Placed “Buy” Rating On the Company’s Plunging Shares
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LPL Investment Holdings, Inc. IPO Registration Gives Evidence of Disparities Between Wirehouse Broker-Dealers and Independent Brokerage Firms
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FINRA Suspends License of Dallas Broker-Dealer Linked to Failed Medical Capital Notes
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House and Senate Negotiators Can’t Seem to Agree on Fiduciary Standard in Financial Regulatory Reform Bill
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Lehman Brothers Lawsuit Claims Its Bankruptcy Was In Part Due to JP Morgan Chase’s Seizure of $8.6 Billion in Cash Reserves
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Updated:
SEC Inquiring About Wisconsin School Districts Failed $200 Million CDO Investments Made Through Stifel Nicolaus and Royal Bank of Canada Subsidiaries
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J.P.Morgan Securities Ltd. Ordered by UK’s Financial Services Authority to Pay $48.7 M for Breaching Client Money Rules
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FINRA Fines Piper Jaffray $700,000 for E-mail Retention Issues and Other Violations
:
Updated:
Alleged $800,000 Affinity Fraud Scheme Prompts SEC to Sue GTF Enterprises and Its Money Manager
:
Updated:
Wells Fargo to Pay $30M in Compensatory Damages to Four Nonprofits for Securities Fraud
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Texas Securities Fraud Charges Filed Against Wadell & Reed and Brookstreet Securities Broker-Dealers Over Microcap Stock Scheme
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Updated:
Citigroup to Pay $1.5 M for Supervisory Violations Related to Broker’s Handling of Trust Funds
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Republican Senator Seeks to Water Down Fiduciary Standards in Pending Investor Rights Bill and Exempt Insurance Companies from Liability
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Leahy Amendment Would Provide Whistleblower Protection While Holding SEC and CFTC Accountable If They Don’t Follow Up on Tips
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Updated:
Deutsche Bank Securities & National Financial Services Fined $925,000 for Regulation SHO Short Sale Restrictions & Supervisory Violations
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JP Morgan Chase & Co. Accused of Securities Violations Involving Guaranteed Investment Contracts and Derivatives
:
Updated:
State of Connecticut Retirement and Trust Funds to Get Back $795,000 Lost in Securities Fraud Carried by Former Connecticut State Senate Fresident
:
Updated:
SEC’s Division of Investment Management to Make 12b-1 Fee and Form ADV Recommendations Soon
:
Updated:
Private Equity Firm Onyx Capital Advisors LLC Charged with Securities Fraud by SEC
:
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Supreme Court Nominee Elana Kagan Took Investors Side on Two Significant Securities Cases
:
Updated:
New Braunfels Firm Accused of Texas Securities Fraud In Sales of Viatical (Insurance) Investments
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SEC’s Handling of Credit Rating Agencies Oversight and Failure to Detect Madoff and Stanford Ponzi Scams Questioned at Senate Appropriations Financial Services Subcommittee
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Updated:
RBC Capital Markets, Olympus Securities, and Three Other Broker-Dealers Settle FINRA Accusations of Selling “Unregistered” Penny Stock
:
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Goldman Sachs Fined $450,000 by NYSE Regulation for Short Sale Rule Violations. Are they being persecuted?
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Updated:
Broker Settles Texas Securities Fraud Charges by SEC that She Misappropriated Customers’ Money
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Updated:
Ranking Broker-Dealers According to Highest Average AUM Per Rep
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Texas Securities Fraud: Commodity Futures & Options Service, Inc. is Permanently Barred from the NFA
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Stifel Reports 80% Earnings Increase During 1st Quarter Even After Disengaging From Broker Recruiting Wars
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Updated:
$1 Billion Goldman Sachs Synthetic CDO Debacle a Reminder that Even Highly Sophisticated Investors Can Be Defrauded
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UBS Agrees to Settle HealthSouth Corp Accounting Fraud Litigation for $217 M
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Extend Fiduciary Duty to All Financial Intermediaries, Securities and Exchange Commissioner Luis Aguilar Tells Congress
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Schwab Must Pay SSEK Client $604,094 Over California Yield Plus Fund Investments, Says FINRA Arbitration Panel
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Updated:
National Securities Corp., Independent Financial Group LLC, & Centaurus Financial Inc. among broker-dealers sought by Massachusetts securities regulators over private placements
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Updated:
The Truth about the Financial Reform Bill Proposed by the Majority Leaders
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Former Delphi Executive’s Motion for Summary Judgment in SEC Securities Fraud Case is Denied
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Linsco Private Ledger Clients File FINRA Arbitration Claims Accusing Former Financial Adviser Raymond Londo of Running Multi-Million Dollar Ponzi Scam
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Stockbroker Fraud?: Extent of Main Street Natural Gas Bonds’ Tie to Lehman Brothers May Not Have Been Disclosed to Investors
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Updated:
Morgan Keegan & Co., Inc., Morgan Asset Management, and Two Employees Face Subprime Mortgage Securities Fraud Charges by SEC
:
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US Supreme Court Won’t Review Texas Securities Fraud Case of Investment Adviser Barred from Industry by SEC
:
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Credit Suisse Group AG Must Pay ST Microelectronics NV $431 Million Auction-Rate Securities Arbitration Award
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Texas Securities Fraud: SEC Sues Two Individuals For Allegedly Running Multi-Million Dollar Scheme Involving Viaticals
:
Updated:
UBS, JP Morgan, Lehman, Bank of America, and Other Banks Included on List of Co-Conspirators in CDR Bid-Rigging Scam
:
Updated:
Most Bloomberg National Poll Participants Think the US Government Should Punish Bankers that Caused Recent Market Collapse
:
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More on YieldPlus Mutual Fund: Charles Schwab Corp. Tries to Dissuade SEC From Filing Securities Claims
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Senate Bill 1551 Allows Securities Fraud Lawsuits Against Those Accused of Aiding and Abetting Primary Violators
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Claims for Losses at Lehman Brothers and in Investments into Lehman Brothers Financial Instruments Gain New Life as Court Uncovers Stunning New Evidence
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LC Wegard Clients that Purchased Relevant Securities May Be Entitled to Distribution from Litigation Estate
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Five Years Later Ex- Knight Securities Supervisors are Exonerated? Just Call it “Par for the Course.”
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Protect Yourself from Texas Securities Fraud by Making Sure that the Company or Agent that Sells You Annuities Has a Valid Insurance License
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Updated:
Stifel, Nicolaus, and Co. to Pay Back $78,000 to Missouri Investors for Broker Fraud
:
Updated:
“America’s Prophet” Psychic Accused of Multimillion-Dollar Investment Fraud
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Updated:
Securities Fraud Law Firm Shepherd Smith Edwards & Kantas LTD LLP Warns Investors Against Affinity Fraud
:
Updated:
Oppenheimer Holdings Inc. Settles Massachusetts Auction-Rate Securities Allegations
:
Updated:
Citigroup Ordered to Defend Against Securities Fraud Allegations by Terra Securities of Norway and Several Norwegian Municipalities
:
Updated:
SEC Says It Has Jurisdiction to Go After Ex-JP Morgan Executives For Securities Fraud
:
Updated:
Court Reinstates Texas Securities Arbitration Award
:
Updated:
Ex-UBS AG Executive to Settle ARS Insider Trading Allegations Made by NY Attorney General Cuomo with $2.75 Million Penalty
:
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Morgan Keegan Ordered by FINRA Panel to Pay Investor $2.5 Million for Bond Fund Losses
:
Updated:
Frontline Advisors LLC and Frontline Financial, Inc. Propose Texas Securities Fraud Settlement that Includes Permanent NFA Bar
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Updated:
H & R Block Financial Adviser Claims: Securities Fraud Law Firm Shepherd Smith Edwards & Kantas LTD LLP Investigating Inadequately Supervised Reverse Convertible Notes for Investors
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FINRA Fines H & R Block Financial Advisors (Now Ameriprise Advisor Services) over Sales of Reverse Convertible Notes (RCN)
:
Updated:
Bank of America To Settle SEC Charges Regarding Merrill Lynch Acquisition Proxy-Related Disclosures for $150 Million
:
Updated:
Dallas Securities Attorney and Former SEC Litigator Convicted of Fraud in Pump and Dump Stock Scam
:
Updated:
FINRA to Assess Amerivet Securities Inc. Allegations that Certain SRO Executives Received Excessive Pay in 2008
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Claims Filed Against Morgan Keegan Division of Regions Financial Causes Shortage of Arbitrators
:
Updated:
Former JPMorgan Bankers Sued by SEC Over Swap Transactions Want Judge to Dismiss Securities Fraud Charges
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Securities Claims Over Morgan Stanley Mutual Funds Dismissed by Appeals Court
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Updated:
SEC Warns that Disclosure of a “Possible Risk” is Misleading When the Event has Already Occurred
:
Updated:
Texas Class Action Securities Fraud Claim Against Cushing MLP Total Return Fund CEO and CFO Can Go Forward, Says District Court Judge
:
Updated:
SEC is working on issues related to asset-backed securities, credit ratings, and money market mutual funds, says Schapiro
:
Updated:
Judge Gives Lower Sentence to Former Credit Suisse Broker Convicted of Auction-Rate Securities Fraud
:
Updated:
Troubled GunnAllen Securities to be Acquired by Progressive Asset Management as Lawyers for Investors Investigate the Sale.
:
Updated:
Former Evergreen Investment Adviser Settles SEC Insider Trading Charges Involving Ultra Short Opportunities Fund
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Former Southwest Securities Broker’s Lifetime Industry Bar for Texas Securities Fraud is Affirmed, Says Appeals Court
:
Updated:
Securities Class Actions are No Longer the Fad as Investors Hire Their Own Attorney to Recover Far More!
:
Updated:
Court Stops Results One Financial LLC Adviser’s Alleged Investment Fraud Scam
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Updated:
SEC Cannot Order Former Rauscher Pierce Broker to Compensate Investors for Losses, Says Court
:
Updated:
Dismissal of Lone Star’s $60 Mortgage-Backed Securities Texas Fraud Action Against Barclays is Affirmed by Federal Appeals Court
:
Updated:
For Role in $2.4 Billion Refco Investor Fraud Scheme, Former Mayer Brown Partner Receives 7-Year Prison Sentence
:
Updated:
Number of FINRA Arbitration Claims Rose in 2009 Following Market Crisis
:
Updated:
Schwab YieldPlus and Morgan Keegan RMK Funds Among Worst Mutual Fund Disasters of the Last Decade, According to US News & World Report
:
Updated:
SunTrust Robinson Humphrey Ordered to Pay $4.1 Million to Former Institutional Salesperson for Alleged Defamation and Wrongful Termination
:
Updated:
Investors of Robert Bentley Ponzi Scam Suffer Setback as Court Overturns $32.7 Million Verdict Against Brokerage Firm and Investment Bank
:
Updated:
Number of Ponzi Scam Collapses Increased Significantly Last Year
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Updated:
Goldman Sachs Executives Sued by Pension Fund Over Bonuses
:
Updated:
Judge Rejects ‘Fat Cat’ JPMorgan Chase’s $9,122 Bill for Producing Subpoenaed Documents
:
Updated:
SEC Accuses Austin Advisor, Triton Financial, and Triton Insurance of Texas Securities Fraud Scam Involving Former NFL Football Players
:
Updated:
Texas Securities Fraud: SEC Freezes Assets of Fourth Person Involved in Alleged $485 Million Ponzi Scheme
:
Updated:
New Judge in Securities Fraud Case Involving Former Brokers Previously Affiliated with Capital Growth Financial, Wachovia Securities, and VSR Financial Services
:
Updated:
Merrill Lynch Must Pay $26 million to States to Resolve Charges of Failure to License Associates
:
Updated:
Attention Schwab Yield Plus Investors: Deadline for Opting Out of Class Action So You Can File Your Own FINRA Arbitration Claim is December 28
:
Updated:
Credit Suisse to Pay $536 Million Settlement For Violating US Sanctions With Secret Transactions from Iran, Libya, Cuba, Burma, and Sedan
:
Updated:
Citigroup, J.P Morgan Chase, Morgan Stanley and Other Firms Added to Investigation of Goldman Sachs over “Front-Running” of Research
:
Updated:
Securities Fraud: Broker Sentenced for Selling High-Risk Short Term Funds to Four Pennsylvania School Districts
:
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Lehman Brothers Sues Barclays for Billions Over Windfall Profit From Asset Sale Transaction
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Updated:
Edward Jones and Merrill Lynch Brokers Like Where They Work, While UBS Representatives are the Least Happy
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Updated:
UBS Loses Lehman Arbitration Note Claim by Small Investor
:
Updated:
Even as FINRA Lost $696.3 Million in 2008, its Executives Made Millions
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Updated:
Texas Securities Commissioner Not Convinced SEC Has Reformed Itself Since Madoff Ponzi Scam
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Updated:
SEC Submits Amended Complaint Against Bank of America Over Merrill Lynch Merger and Executive Bonuses
:
Updated:
The Investor Protection Act is Approved by House Financial Services Committee
:
Updated:
Braintree Appeals to Keep Auction-Rate Securities Lawsuit Against Citigroup in Court
:
Updated:
FINRA Bars Former Piper Jaffray & Co. Broker from Industry for Insider Trading
:
Updated:
Fighting Senior Investment Fraud: Panel Calls for SEC, Labor Department, and Treasury Department to Work Together
:
Updated:
Number of Securities Lawsuits Increased During 3rd Quarter
:
Updated:
Obama Administration Supports Investors’ Securities Fraud Lawsuits Against Merck
:
Updated:
JP Morgan Chase to Pay $75 Million in Penalties and Forfeit $647 Million to Settle SEC Charges Over Alleged Municipal Bond Payment Scam
:
Updated:
Stifel Financial Corp. Sees 73% 3rd Quarter Earnings Rise and Completes Purchase of 56 UBS Financial Services Inc. Branches
:
Updated:
Securities America & Ameriprise Financial Inc. Sued For Selling Allegedly Faulty Private Settlements
:
Updated:
SEC to Continue Fight Against Senior Investment Fraud in 2010
:
Updated:
Stifel, Nicolaus & Co. and AXA Advisors Broker Charged in Ponzi Scheme Victimizing Church Members
:
Updated:
CIT Group Bankruptcy Exposes Fraud Against Many Investors Who Were Sold Preferred Stocks And Bonds
:
Updated:
SEC to Probe Whether Former Ferris, Baker Watts Inc. General Counsel Failed to Properly Supervise Broker Convicted of Securities Fraud
:
Updated:
Scottrade Fined $600,000 by FINRA for Inadequate Anti-Money Laundering Program
:
Updated:
Citigroup, AK Capital, National Financial Services, and Tradestation Fined and Censured by NYSER Over Trade Violations
:
Updated:
Morgan Keegan Again Ordered by Arbitrators to Pay Bond Fund Losses to Investors
:
Updated:
JP Morgan to Repurchase $480 Million in ARS from Michigan Investors
:
Updated:
Two Dresdner Kleinwort Traders Censured for Market Abuse by UK’s FSA
:
Updated:
Elder Securities Fraud: FINRA Bars Former Broker From Industry
:
Updated:
Market Timing Violations Against AG Edwards & Sons Inc. Supervisors and Broker Upheld by the SEC
:
Updated:
Ex-Enron Broadband CEO Goes to Prison for Texas Securities Fraud
:
Updated:
SEC Warns Charles Schwab Corp. of Possible Civil Charges Over Two Bond Funds
:
Updated:
Notice: Schwab YieldPlus Investors Must Act Quickly To File Independent Claims For Losses
:
Updated:
Citigroup ordered to pay $600,000 FINRA fine for inadequate supervision that may have allowed foreign clients to avoid paying taxes on dividends
:
Updated:
NASAA Releases Investment Adviser Best Practices To Improve Compliance
:
Updated:
SEC Office of Administrative Services’ Office of Acquisitions Has Shortfalls that Could Impede Operation, Says Audit
:
Updated:
Make Credit Rating Agencies Collectively Liable for Inaccuracies, Proposes Lawmaker
:
Updated:
Former Merrill Lynch Employee, Guilty of $1.4 Million Texas Securities Fraud Scheme, Receives Prison Term
:
Updated:
Colorado Sues Stifel, Nicolaus for Misrepresenting Auction-Rate Securities to Investors
:
Updated:
Indiana Accuses Stifel Nicolaus & Co. of Auction Rate Securities Fraud
:
Updated:
Texas Securities Fraud: Investment Firm Employee Accused of Making $8.6 Million from Dell Insider Trading
:
Updated:
UBS Securities, Citigroup Global Markets, and Deutsche Bank Securities Agree to FINRA Sanction Over Vonage IPO
:
Updated:
Securitization of Life Insurance Settlements Might Lead to Next Financial Crisis, Say Lawmakers
:
Updated:
Regions Bank Settles SEC Charges Over Latin American Investment Fraud Scam
:
Updated:
Bank of America’s Merrill Lynch unit agrees to $26.5 million national settlement stemming from Texas securities fraud claim
:
Updated:
Former Stifel Nicolaus and AG Edwards Stockbroker Sentenced to 21-Months in Prison for Investment Fraud Scam
:
Updated:
Securities Fraud Lawsuit Against UBS AG Gets Added Steam with Employee Email Calling Collateralized Debt Obligations “Vomit”
:
Updated:
Morgan Keegan Hit with Large Penalty for Fouling Ex-NBA Star
:
Updated:
Texas Securities Commissioner, Appointed New President of Nationwide Association of Regulators, Seeks Additional Investigations into Wall Street Fraud
:
Updated:
SEC Warns Broker-Dealers to be Mindful of Their Recruiting Bonuses
:
Updated:
$150 Million Settlement in Merrill Lynch Securities Fraud Lawsuit is Granted Preliminary Approval by District Court Judge
:
Updated:
Citigroup Global Markets Sales Assistant Accused of Stealing from Clients is Banned by FINRA from the Securities Industry
:
Updated:
SEC, NASD, FINRA & SIPC: New SEC Report Card on Madoff Catastrophy Further Reveals How Investor Protection Is Severely Flawed!
:
Updated:
Disgruntled Investors Continue to File Securities Fraud Litigation Against Merrill Lynch Even Eight Months After Its Acquisition by Bank of America Corp.
:
Updated:
In Investment fraud Lawsuit Against Lehman Brothers, Goldman Sachs and Morgan Stanley, Court Grants Class Certification
:
Updated:
Monex Deposit Company Cannot Compel Investors to Resolve Consumer Investment Dispute in Arbitration, Says Appeals Court
:
Updated:
Brokerage Firm Amerivet Securities Inc. Sues FINRA for Alleged Misconduct
:
Updated:
Will Two Former Credit Suisse Group AG Brokers Convicted of Securities Fraud Get More Lenient Sentences Because of Industry’s “Culture of Corruption?”
:
Updated:
Wachovia Securities Ordered by Pennsylvania Securities Commission to Repurchase $325 Million in Auction-Rate Securities
:
Updated:
FINRA Bars Ohio Broker Accused of Stealing $90,000 Inheritance from Two Sisters from the Securities Industry
:
Updated:
After District Court Dismisses Texas Securities Fraud Against Billionaire Mark Cuban, SEC Appeal Can Now Move Forward
:
Updated:
SEC Seeks Legislation Allowing It to Pursue Securities Regulators After Their Resignation
:
Updated:
UBS AG and Merrill Lynch Collectively Fined $250,000 by FINRA for Closed-End Fund Actions
:
Updated:
SEC Says Prime Capital Services, Inc. Defrauded Elderly Investors in Florida with “Free” Lunch Seminars and Unsuitable Variable Annuity Sales
:
Updated:
Merrill Lynch & Co. Sued Over Auction-Rate Securities by Teva Pharmaceutical Industries Ltd. and Seneca Gaming Corp.
:
Updated:
Bank of America Agrees to settle SEC Charges of Merrill Lynch Bonuses for $33 Million But Judge Blocks Settlement
:
Updated:
Next Financial Ordered to Pay One Million Dollars for Supervisory Deficiencies that Led to Texas Securities Fraud
:
Updated:
FINRA Permanently Bars Former Broker for Stifel, Nicolaus & Co. Inc and AXA Advisors For Ponzi Scheme
:
Updated:
Ex-Credit Suisse Broker Who Pleaded Guilty to Securities Fraud for Role in Auction-Rate Securities Scam Knew in Late 2007 that Clients’ Funds Were in Trouble
:
Updated:
Morgan Stanley to Pay $500,000 to Resolve SEC Charges that it Recommended Unapproved Money Managers to Clients
:
Updated:
Provident Royalties Faces $485 Million Texas Securities Fraud, Says SEC
:
Updated:
SSEK Looks Into Securities Fraud Claims for Richard Buswell and Brookstone Securities Clients Over Private Placement Units Sales in Advanced Blast Protection
:
Updated:
Texas Securities Fraud Lawsuit Against Former EnergyTec CEO Can Move Forward, Says District Court
:
Updated:
Carlyle Group Sued by Former Congressman Michael Huffington For Investment Loss of More than $20 Million
:
Updated:
Stockbroker Fraud Law Firm Shepherd Smith Edwards & Kantas LTD LLP Files Claims Against Morgan Keegan Following SEC Wells Notice
:
Updated:
FINRA Says Number of Stockbroker Fraud Arbitration Claims by Plaintiffs is Rising
:
Updated:
Ameriprise Must Pay $17 Million for REIT Fraud
:
Updated:
Morgan Stanley Plan to Repackage Low-Grade Debt Obligations Then Sell These as Low-risk AAA Bonds is “Preposturous,” Says Stockbroker Fraud Lawyer Bill Shepherd
:
Updated:
SEC Wants to Know Why Target-Date Mutual Funds are Growing Riskier
:
Updated:
Stifel Financial Corp. Says 95% of Clients Agree to Auction-Rate Securities Buyback Plan
:
Updated:
Wachovia Securities Agrees to $1.4 Million FINRA Fine for Failure to Deliver Prospectuses to Customers
:
Updated:
SEC May Sue State Street Corp Over Investor Losses Related to Mortgage-Backed Securities
:
Updated:
Evergreen to Pay Over $40 Million to Settle SEC and Massachusetts Securities Division Charges that Funds were Overvalued
:
Updated:
Former Stifel Nicolaus and A.G. Edwards Stockbroker Pleads Guilty to Mail Fraud
:
Updated:
SEC Securities Fraud Lawsuit Accuses Beverly Hills Money Manager Stanley Chais of Leading Investors Into Madoff Ponzi Scam
:
Updated:
Raymond James and RBC Capital Markets Fined $1.4 Million in Total Over Improper Stock Lending Activities
:
Updated:
JP Turner & Co., Legent Clearing, LLC, Park Financial Group Inc. & Four Individuals to Pay More than $1.25 Million in FINRA Fines for Alleged Penny Stock Violations
:
Updated:
Ex-Morgan Keegan Adviser Pleads Guilty to Stealing from Senior Investor
:
Updated:
Texas Securities Fraud: A Houston Attorney and a Texas A & M Professor Charged with Investment Fraud
:
Updated:
Brokers Renew Push for Investors to Buy Structured Products
:
Updated:
To The SEC: Why It Is Necessary to Change Public Reporting Requirements on Stockbrokers
:
Updated:
Morgan Keegan, Charles Schwab and Others Fight as Wells Fargo Unit Settles Claims of Misrepresented Securities in Short Term Bond Funds
:
Updated:
UBS Financial Services Misled Investors about Lehman Brothers Securities, Says New Hampshire Regulators
:
Updated:
FINRA Orders RD Capital Group and Its President to Pay $1 Million for Fraudulent STRIPS Markups
:
Updated:
Auction-Rate Securities Probes Lead to More Enforcement Actions and Final Settlements with Investment Firms
:
Updated:
Texas Securities Fraud: Court Grants SEC’s Request to Freeze Defendants’ Assets Following $40 Million Investment Scam
:
Updated:
Merrill Lynch Life Agency to Pay Illinois Division Of Insurance $18 Million Over Funeral Trust Scam Allegations
:
Updated:
VSR Financial Services Settles FINRA Claim Over Improper Securities Sales Made to Senior Investors
:
Updated:
Texas Securities Fraud: Ex-Dallas Football Player Charged with Alleged Involvement in $24 Million Investment Scheme
:
Updated:
Wells Fargo Sued Over ARS Sales by California Attorney General for $1.5 Billion
:
Updated:
More Problems at the SEC: Who Regulates the Regulator?
:
Updated:
Goldman Sachs Reaches $60 Million Settlement with Massachusetts Over Subprime-Mortgage Loans
:
Updated:
Morgan Keegan & Co’s Regions Financial May Face SEC Charges Over Improper Auction-Rate Securities Sales
:
Updated:
Centaurus Financial Slapped with $175,000 FINRA Fine for Failing to Protect Confidential Client Info
:
Updated:
Ex-Citigroup Banker Among Six Defendants the SEC is Charging with $6 Million Insider Trading Scam
:
Updated:
Customer Who Filed Motion to Vacate Arbitration Award is Ordered to Pay Sanctions for Frivolous Arguments
:
Updated:
Former Stockbrokers From Citigroup, Lehman Brothers Holding, and Citigroup Among Defendants Convicted for Conspiracy Related to “Squawk Box” Securities Fraud Scam
:
Updated:
SEC Enforcement Action Holding Southwest Securities Broker Accountable for Market Timing is Affirmed by 5th Circuit
:
Updated:
SEC Sues Broker-Dealer Morgan Peabody Inc Owner For Investment Fraud
:
Updated:
“Churning” Accounts by Brokers is Back in Vogue – Ask the Expert!
:
Updated:
Hennessee Group Settles with SEC over Bayou Group Fraud
:
Updated:
Wachovia and Citigroup Settle Michigan ARS Case for $880 Million
:
Updated:
Another Securities Fraud Lawsuit Filed Against UBS International
:
Updated:
Oregon’s Attorney General Files $36 Million Lawsuit Against OppenheimerFunds
:
Updated:
Merrill Lynch Cannot Prevent Former Brokers From Using Customer Information and Soliciting Clients, Says District Court
:
Updated:
Magistrate Judge Tells Texas Court that Citigroup Global Markets Holding Inc. Should Not Be Denied Arbitration Award for Unpaid Promissory Note
:
Updated:
US Lawmakers Want SEC and Treasury Department to Answer Questions About Merrill Lynch Executive Bonuses and TARP Funds
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Updated:
Texas Court Freezes Assets of Weizhen Tang After SEC Accuses Him of Operating Multi-Million Dollar Ponzi Scam Targeting Chinese-American Investors
:
Updated:
Did Morgan Keegan Tutor Towns to Invest into Their Own Risky Deals?
:
Updated:
Former Fidelity Brokerage Reps Says They Were Pressured to Make Sales That Conflicted With CFP Ethic Codes
:
Updated:
Morgan Keegan Ordered by FINRA to Pay Investors $267,711 Plus Interest for Losses in RMK Bond Funds
:
Updated:
Merrill Lynch & Co Ordered to Pay FINRA Arbitration Panel $39.8 Million
:
Updated:
“Reversible Convertible” Risks are Now a Reality for Investors Dealing with Substantial Losses
:
Updated:
GM, Ford, Chrysler Retirees: Beware of Financial Advisors After Your Severance!
:
Updated:
US Supreme Court Won’t Hear InfoSpace Founder’s Appeal Requesting to Sue Attorneys and Stock Management Company for Allegedly Botching Insider Stock Trading Case
:
Updated:
GM, Ford, Chrysler Retirees: Beware of Financial Advisors Seeking to Invest Your Severance!
:
Updated:
First New York Securities LLC and Four Ex-Traders to Pay $435,000 in FINRA Sanctions Over Short Selling
:
Updated:
Associated Securities Ordered by Arbitrators to Pay $8.8 Million to Investors for Losses in APEX Equity Options Fund
:
Updated:
Houston Broker at Deutsche Bank Alex Brown Leaves Suicide Note Suggesting Clients Sue over Aravali Fund
:
Updated:
Merrill Settles SEC Charges Over ‘Squawk Box’ Misuse for $7 Million
:
Updated:
Wachovia Securities Must Pay Texas $4 Million for Auction-Rate Securities
:
Updated:
Stifel Nicolaus Will Repurchase Auction-Rate Securities from Costumers Within Three Years
:
Updated:
Madoff and Stanford Victims Can Claim Theft Losses as Tax Deductions, Says Internal Revenue Service
:
Updated:
Despite Financial Market Volatility, Most Investment Advisors Are Telling Clients To Stick With Their Investment Plans
:
Updated:
Morgan Keegan Settlement with Children’s Wish Fund Shows the Impact Recouping Investment Losses Can Have On The Little People
:
Updated:
Moody’s Investors Can Pursue Securities Fraud Class Action Lawsuit Accusing the Credit Rating Agency of Falsely Claiming Independence
:
Updated:
UBS Sanctioned For Madoff-Related Losses by Luxembourg Financial Services Regulator
:
Updated:
Outcome of SEC Actions Appear to Favor Larger Broker-Dealers than Smaller Ones, Says Harvard Law School Study
:
Updated:
Wells Fargo, Goldman Sachs, JP Morgan Chase, Citigroup, UBS Securities, Bank of America, Moody’s Investment Services, and Fitch Ratings are Among Defendants Sued On Behalf of Wells Fargo Certificate Investors for Alleged Securities Fraud Violations
:
Updated:
SEC Freezes Assets of Westridge Capital Management, WG Investors, LP, WG Trading Company, LP, and Money Managers Stephen Walsh and Paul Greenwood Over Alleged Misappropriation of Up to $554 Million in Investor Funds
:
Updated:
Morgan Stanley Court Case Demonstrates Why Securities Arbitration is Often a Better Forum
:
Updated:
Bank of America, Citigroup, Goldman Sachs, and Wells Fargo Chief Executives Among Those Defending Bailout Fund Use
:
Updated:
Credit Suisse Securities Ordered by FINRA Panel to Pay $406 Million for Improper ARS Sale to Semiconductor Manufacturer STMicroelectronics NV
:
Updated:
Houston Stockbroker Fraud Law Firm to Represent Stanford Bank Investors Living in Latin America
:
Updated:
Wachovia Fined More than $4.5 Million by FINRA for Sales Violations Involving Mutual Funds and Trusts
:
Updated:
Multibillion-Dollar Stanford Securities Fraud Scam Has Investors Contacting Houston Stockbroker Fraud Lawyers for Help
:
Updated:
Merrill Lynch, Pierce, Fenner & Smith Inc To Settle SEC Charges of Pension Consulting Business-Related Violations for $1 Million
:
Updated:
Wachovia and SEC’s Finalized Auction-Rate Securities Settlement Will Provide Over $7 Billion in Liquidity to Investors
:
Updated:
Annuity Investors Should Not Rely on Class Actions to Recover Their Losses
:
Updated:
UBS Sued by New Orleans Employees’ Retirement System for Alleged Tax Scam that Helped the Rich While Causing Investor Losses
:
Updated:
Merrill Lynch Pierce Fenner & Smith Does Not Have to Halt Redemption of ARS Clients, Says Court
:
Updated:
Merrill Lynch, J.P. Morgan and Others fail to Obtain Dismissal of IPO Case by Houston Judge
:
Updated:
Securities and Exchange Commission Now Calling for Comments on FINRA Proposal Regarding New Financial Responsibility Rules
:
Updated:
Agape Founder Nicholas Cosmo Arrested for Allegedly Running $370 Million Ponzi Scam
:
Updated:
Merrill Lynch Ends Investor and Employee Class Action Lawsuits with $550 Million Settlement
:
Updated:
Texas State Securities Board Orders Golden Triangle Energy Corp. and Vision Asset Development Co. to Stop Selling Securities
:
Updated:
Wall Street Did Not Know Mortgage Backed Securities were Junk. Baloney!
:
Updated:
FINRA Says Securities Arbitration Claims Increased by 85% in 2008
:
Updated:
District Court Denies Federal Government’s Request to Detain Investment Adviser Bernard Madoff After He Transferred $1 Million in Valuables
:
Updated:
Madoff Investors May Have a Better Chance of Recovering their Investment Losses Through Tax Strategies Rather than Lawsuits
:
Updated:
SEC Rapped for Allegedly Failing to Fully Investigate Alleged Wrongdoings in the Municipal Securities Market
:
Updated:
Wachovia Corp Sued by Carolinas Health Care System for More than $19 Million in “Bad” Investments
:
Updated:
$865 billion in state pension fund losses are resulting in reduced benefits for new hires
:
Updated:
Although $200 Billion Auction Rate Securities Are Unfrozen, Many Investors Still Hoping to Recover $135 Billion in Frozen ARS
:
Updated:
Former Regions Morgan Keegan Investment Funds Revise Their Names to Include Helios Brand
:
Updated:
Former Broker Charged with Conspiracy to Commit Wire Fraud Following Allegations He Helped Law Firm Founder Mark Dreier Defraud Hedge Funds Through Ponzi Scam
:
Updated:
Investor Fraud Lawsuits Stemming $50 Billion Ponzi Scheme May Name Madoff’s Family Members as Additional Defendants
:
Updated:
Number of Federal Securities Fraud Cases Prosecuted Drop Significantly
:
Updated:
Former Stanford Group Co. Financial Advisers Must Arbitrate Constructive Discharge Claims
:
Updated:
ARS Investors Can Seek Consequential Damages Recovery Through Special Arbitration Procedure Introduced by FINRA
:
Updated:
UBS and Citigroup to Pay Nearly $30 Billion to Tens of Thousands of ARS Investors
:
Updated:
Senior Investor’s Claim Against Wells Fargo is Remanded on Fraud in Execution by California Court of Appeal
:
Updated:
Madoff Investors Who Were Victims of “Ponzi” Scam Contact Securities Fraud Law Firm Shepherd Smith Edwards & Kantas LTD LLP to Explore Recovery Options
:
Updated:
Former NEXT Financial Group Stockbroker’s Claim that He Was Fired for Refusing to Conceal Churning is Subject to Arbitration
:
Updated:
Do Broker-Dealers Hire Brokers Already Suspected of Securities Fraud?
:
Updated:
US Treasury Department Extends Money Market Fund Guarantee Program Through April 2009
:
Updated:
Stockbroker Fraud Law Firm Shepherd Smith Edwards & Kantas LTD LLP Investigate Securities Fraud Claims Involving Former World Group Securities Representatives David Olson and Edward Allen
:
Updated:
Merrill Lynch NY Branch Manager is No Longer with the Firm
:
Updated:
SEC Proposes Road Map For The Mandatory Adoption Of International Financial Reporting Standards
:
Updated:
“Living Benefits” Annuity May Be Riskiest Product Ever Sold by Insurance Industry
:
Updated:
SEC Adopts Rules to Streamline Mutual Funds Disclosures But Delays Making Decision on Credit Ratings’ Final Rules
:
Updated:
Securities Fraud Class Action Lawsuit Against Hartford Financial Services Group Inc. is Reinstated in Appeals Court
:
Updated:
The Financial Regulation Reform Act of 2008 Seeks to Regulate Investment-Bank Holding Companies and Credit Default Swaps
:
Updated:
Massachusetts Top Securities Regulator Charges Oppenheimer & Co with Unethical Conduct and Fraud
:
Updated:
NASAA Says Investors with Frozen Auction-Rate Securities Should Ask Investment Firms About Buyback Opportunities
:
Updated:
Citigroup Global Markets Ordered to Pay FINRA Fine for Inadequate Supervision
:
Updated:
Former UBS Executive Director Must Forfeit $15.81 Million in Illegal Profits and Serve 6 1/2 Year Prison Term for Insider Trading
:
Updated:
District Court Confirms Merrill Lynch Arbitration Award in Investor Dispute
:
Updated:
Protestors in Asia Decrying Lehman Brothers “Mini-Bond” Collapse Could Be A Sign of More Lawsuits and Claims Against US Broker-Dealers
:
Updated:
Lazard Capital Markets Pays $2.8 Million to Settle SEC Charges Over Allegedly Improper Expenditures Made to Fidelity Investment Traders
:
Updated:
Moody’s, Standard & Poor’s, and Fitch’s Assignment of High Credit Ratings to Mortgage-Backed Securities Contributed to the Financial Meltdown
:
Updated:
J.P. Turner & Co. Will Pay $250,000 to Settle FINRA Charges Related to Inadequate Supervision of Stock Trade Commissions
:
Updated:
SEC Failed in Its Oversight of Bear Stearns, Says Inspector General
:
Updated:
Former UBS AG Co-General Counsel David Aufhauser Agrees to Settle Insider Trading Charges for $6.5 Million
:
Updated:
NASAA and AARP Launch “Free Lunch Seminar Monitor Program” to Protect Seniors From Investment Fraud
:
Updated:
SunTrust Investment Services to Pay $700,000 Fine to Settle FINRA Charges of Excessive Commission and Supervisory Violations Involving Fee-Based Brokerage Business
:
Updated:
Banorte Securities International Agrees to $1.1 Million Fine Over Charges It Recommended Class B Mutual Fund Shares Instead of Class A
:
Updated:
Securities Fraud Law Firm Shepherd Smith Edwards & Kantas LTD LLP Investigates Ray Londo, Londo Financial Group, and Linsco Private Ledger For Improper Lending/Borrowing of Client Funds
:
Updated:
Securities and Exchange Commission Sues Five World Group Securities Brokers For Persuading Clients to Refinance Homes With Subprime Mortgages
:
Updated:
Goldman Sachs Applies for New York Bank Charter
:
Updated:
FINRA Orders Charles Schwab to Pay $542,340 Over Short-Term Bond Fund Investor Claim
:
Updated:
Wisconsin School Districts Sue Royal Bank of Canada and Stifel Nicolaus and Co. in Lawsuit Over Credit Default Swaps
:
Updated:
2004 SEC Vote that Changed Net Capital Rule May Have Played a Role in Current FInancial Crisis
:
Updated:
Almost 7,000 Broker-Dealers from FSC Securities, AIG Financial Advisors, and Royal Alliance Associates Will Be Part of AIG Advisor Group Sale, Says Source
:
Updated:
Lehman Brothers’ “Structured Products” Investigated by Stockbroker Fraud Law Firm Shepherd Smith Edwards & Kantas LTD LLP
:
Updated:
FBI Investigates Former HFI Securities Inc. Vice President After Gold and Silver Coins Worth Millions of Dollars Found in His Basement
:
Updated:
Former LPL Financial and Ameriprise Representative Charged with Theft and Fraud of Persons He Met through Church and Little League
:
Updated:
Court Upholds that New Jersey Division of Investment Cannot Hire External Pension Fund Investment Managers
:
Updated:
Hedge Fund Manager Settles SEC Charges He Helped Defraud Investors of Nearly $20 Million
:
Updated:
District Court Finds that Viatical Settlements are Securities In Michigan and Oklahoma
:
Updated:
Rosenthal Collins Group LLC Settles CFTC Charges Over Failure to Enforce Compliance and Supervisory Procedures
:
Updated:
SEC’s New IDEA Will Let Investors Easily Access Data About Public Companies and Mutual Funds
:
Updated:
Federal Judge Vacates Guilty Pleas Against Three NYSE Traders Charged With Securities Fraud
:
Updated:
Two Former Credit Suisse Brokers Charged With Fraud and Conspiracy Related to Auction-Rate Securities Scam
:
Updated:
US Labor Department Wants Whistleblower To Show that Sarbanes-Oxley Act Covers UBS Financial Services
:
Updated:
SEC Reaches Preliminary Settlement with Merrill Lynch, Pierce, Fenner & Smith to Liquidate About $8.5 Billion in Auction Rate Securities
:
Updated:
2nd Circuit Reinstates TIAA-CREF Enterprises Inc. Faces Negligence and Breach of Fiduciary Duty Claims
:
Updated:
Investigation Underway of Asset Management Fund’s (“AMF”) Ultra Short Fund (AULTX) and the Role of Shay Asset Management
:
Updated:
Charles Schwab, Fidelity, and Other Downstream Brokerages are Subpoenaed as NY Attorney General Cuomo’s Auction-Rate Securities Probe Expands
:
Updated:
NY Attorney General Coumo Estimates that Wall Street Firms Have Only Agreed to Repurchase 18% of ARS Securities
:
Updated:
Arbitration Claims for Consequential Damages on Auction Rate Securities (ARS)
:
Updated:
FINRA Rolls Out New Arbitration Process for Auction-Rate Securities Claims
:
Updated:
State Street Sued Over Allegations of Misrepresentation Related to Mortgage-Backed Securities
:
Updated:
Bank of America Did Not Warn Small Investors About Auction-Rate Securities Crisis
:
Updated:
SEC Charges Former AG Edwards and Bank of America Broker With Misappropriating $1.3 Million from Customers
:
Updated:
Claims Continue over MasterShare – Prudential Securities’ Deferred Compensation Plan
:
Updated:
Seven Mutual Fund Horror Stories for Investors!
:
Updated:
Mutual Funds Misrepresented as Safe: SSgA Yield Plus, Fidelity Ultra-Short Bond (FUSFX) & Regions Morgan Keegan Select High Income (MKHIX)
:
Updated:
Connecticut Attorney General Sues Moody’s, McGraw Hill, & Fitch Over Municipal Bond Issues
:
Updated:
Securities Law Firm Shepherd Smith Edwards & Kantas LTD LLP Investigates Investor Claims Related to Short Term Bond Funds
:
Updated:
FINRA Pilot Program Offers Up All-Public Arbitration Panel to Hear Investor Claims
:
Updated:
Pluris Valuation Survey Finds Auction-Rate Securities Write-Downs Totaling $2.1 Billion
:
Updated:
Massachusetts Slaps Merrill Lynch with Auction-Rate Securities Fraud-Related Charges
:
Updated:
SEC Issues “ComplianceAlert Letter” Citing Common Weaknesses and Deficiencies of Registered Firms
:
Updated:
Auction-Rate Securities Crisis Impacts Hospital Industry
:
Updated:
Judge Approves Citigroup Falcon Fund Investors’ Decision to Withdraw Lawsuit
:
Updated:
New York Attorney General Files Securities Fraud Lawsuit Against UBS
:
Updated:
SEC Subpoenas Over 50 Hedge Fund Advisors in Probe of Whether Stock Price Manipulation Affected Bear Stearns and Lehman Brothers Shares
:
Updated:
Securities Regulators Arrive At Wachovia Securities Headquarters to Conduct Auction-Rate Securities Investigation
:
Updated:
Scottrade Agrees to $950,000 Civil Penalty To Resolve SEC Charges of Fraudulent Misrepresentation Regarding Nasdaq Pre-Open Order Executions
:
Updated:
Senators’ Bill Calls for Added $50,000 Fine For Defrauding Elderly Investors
:
Updated:
Deutsche Bank Securities Unit Must Defend Itself Against Xethanol Corp. Lawsuit Related to Auction-Rate Securities Losses
:
Updated:
Ex-Broker Files Whistle-Blower Complaint Against UBS Financial Services
:
Updated:
Citigroup’s Smith Barney Draws Ire of Investors and Its Own Brokers Over ASTA/MAT and Falcon Funds
:
Updated:
Investors Seek Arbitration Resolutions Against Charles Schwab for Alleged Securities Violations
:
Updated:
Massachusetts Commonwealth Secretary William Galvin Sues UBS for Fraud
:
Updated:
Connecticut Brokerage Aide Must Pay $58,825 To Settle Charges He Made Unauthorized Securities Trades
:
Updated:
Citigroup Settles Securities and Exchange Commission Charges Over Accounting Issues Related to Argentine Bonds
:
Updated:
Another Lawsuit Against Former Merrill Lynch Research Analyst Henry Blodget is Dismissed Due to Loss Causation
:
Updated:
Lincoln Funds International Inc. and Its Principals Issued Restraining Order Following Alleged $21 Million Biotech Scam
:
Updated:
SEC Judge Slaps Next Financial Group With $125,000 Fine Over Recruiting Practices
:
Updated:
SEC and State Regulators Probe Whether UBS Played a Role in Auction-Rate Securities Collapse
:
Updated:
Former JP Morgan Chase and Credit Suisse Banker is Sentenced to 10 Years in Prison for Insider Trading Tip Scam
:
Updated:
State Regulators Investigate World Financial for Deceptive Sales Practices
:
Updated:
Former SEC Commissioner Nazareth Says The US Not Keeping Up with Evolving Investment Markets
:
Updated:
Student Lender Brazos Group Inc. Wants Citigroup, Bank of America, and Other Banks to Solve Problems Caused By Auction-Rate Securities Market Crisis
:
Updated:
SEC Charges North American Clearing, Inc. With Misusing Customer Funds
:
Updated:
First Southwest Co. Settles SEC Charges That It Improperly Intervened In Auction-Rate Securities Market
:
Updated:
SEC Director Says Deploying Enforcement Resources Continues to Be A Challenge
:
Updated:
Piper Jaffray Accused of Giving Faulty Advice in Two Bond Offerings
:
Updated:
E*Trade Securities LLC, TradeStation Securities Inc. and CIBC World Markets Corp. Face FINRA Fines For Failing to Accurately Report Equity Securities Order Information
:
Updated:
Securities Fraud Lawsuit Against Ex-Merrill Lynch Analyst Accused of Issuing False Reports About CMGI Inc. is Dismissed
:
Updated:
SEC Director Erik Sirri Says Direct Market Access Systems Guidance For Broker-Dealers Is In The Works
:
Updated:
Former Broker-Dealer Chanin Capital Settles SEC Charges That It Failed to Set Up Proper Insider Policies and Processes
:
Updated:
GunnAllen Financial Settles FINRA Charges Over the Firm’s Alleged Involvement in Trade Allocations
:
Updated:
UBS To Pay Massachusetts Municipalities Over $35 Million for Auction-Rate Securities Losses
:
Updated:
Wachovia Securities LLC Sued For Alleged Fraud Involving the Sale of Le Nature’s Senior Subordinated Notes
:
Updated:
Are Investment Banks Taking the Necessary Steps to End the Auction-Rate Securities Crisis?
:
Updated:
Ex-WFG Investment Stockbroker Accused of Allegedly Defrauding Over 500 Senior Investors Agrees To Disgorge Ill-Gotten Earnings
:
Updated:
Ex-Southwest Brokers Found Liable for Concealing Market Timing Trades
:
Updated:
AARP Financial Inc. Survey Says Investors Find Financial Lingo “Technical and Confusing”
:
Updated:
NASAA Says State Regulators Continue To Investigating Auction-Rate Securities Problems Affecting Investors
:
Updated:
U.S. Representative Barney Frank Calls on SEC to Widen Investigation of Improper Trading Rumors Surrounding Bear Stearns’s Stock
:
Updated:
Ex-Assent LLC Broker Pleads Guilty to Concealing Insider Trading Activities
:
Updated:
Schwab YieldPlus Fund Investors File Securities Class Action Lawsuit Alleging Marketing Misrepresentation in Funds’ Offering Documents
:
Updated:
Ameriprise Settles Lawsuit Alleging That Six of Its Financial Advisers Forged Customer Signatures
:
Updated:
16 State Farm Entity Representatives Settle FINRA Test-Taking Sanctions
:
Updated:
Rogue Fidelity Investment Adviser’s Prison Sentence is Vacated Due to Improper Application of “Identity Theft Enhancement”
:
Updated:
The Association For Financial Professionals Wants SEC Chairman Cox To Push Harder For Reform Of Credit Rating Agencies
:
Updated:
Two Brazilian Nationals Indicted For Alleged Involvement In $50 Million Telemarketing Scheme
:
Updated:
ARS Failures at Brokerage Firms So Bad Even Their Own Association is Critical!
:
Updated:
Merrill Lynch Sues Insurer for Failing to Honor Claims Opening Door to Mysterious “Swaps” Market
:
Updated:
UBS Securities, Bank of America, and Merrill Lynch Among Firms Subpoenaed In Massachusetts Auction-Rate Market Sales Probe
:
Updated:
Auction-Rate Securities to be Priced this Weekend by UBS – Others to Follow?
:
Updated:
Court Says Investor Must Arbitrate Claims Against Broad Street Securities, Pershing LLC, and Bank of New York Mellon Over Contract Alterations
:
Updated:
W.P. Carey & Co Settles SEC Charges Over Payments of Undisclosed REIT Compensation
:
Updated:
JP Morgan Chase’s Bear Stearns Acquisition Could Make The Firm Vulnerable to Lawsuits
:
Updated:
Too Little Too Late: Fund Compies’ Attempts to Refinance Auction Rate Preferred Securities Using Leverate or Varible Rate Securities Unlikely
:
Updated:
Wachovia Securities Analyst Comments on Bear Stearns’ Sale and Calls Merrill Lynch the “Riskiest” Investment Bank
:
Updated:
Wells Fargo Brokerage Services. FTN Financial, and Stone Youngberg Among Founders of Regional Bond Dealers Association
:
Updated:
Bear Stearns Sold to JP Morgan – One Firm’s Trash Is Another Firm’s Treasure!
:
Updated:
A.G. Edwards & Sons Stockbrokers Ordered to Pay $750,000 Fine for Market-Timing Scam
:
Updated:
Ex-UBS Executive Pleads Guilty to Insider Trading And Could Spent 90 Years in Prison
:
Updated:
Countrywide Financial, Merrill Lynch, and Citigroup Executives Defend Their Hefty Compensations Following Subprime Mortgage Crisis
:
Updated:
Holston, Young, Parker & Associates Operator Pleads Guilty to $6.5 Million Forex Investor Scam
:
Updated:
Fidelity To Pay $8 Million Fine To Settle SEC Charges Regarding Traders’ Improper Gift Taking
:
Updated:
Oppenheimer & Co. Agrees to Settle FINRA Market Timing Charges for $4.5 Million
:
Updated:
Former Refco Senior Executives Plead Guilty to $2.4 Billion Fraud-Related Criminal Charges
:
Updated:
Merrill Lynch, Prudential Securities, Pruco and UBS Must pay $2.4 Million in Fines for Mutual Fund Abuses
:
Updated:
FINRA Says Ex-Morgan Stanley Stockbroker Misappropriated Nearly $400,000 From 97-Year-Old Widow
:
Updated:
Questar Executive Fired For Failure to Disclose Private Securities Transactions
:
Updated:
How Wall Street Firms Convinced Investors to Put Billions into ARS and ARP Securities Just Before the Auctions “Failed”
:
Updated:
Ex-Credit Suisse Investment Banker Appeals Insider Trading Charges Conviction
:
Updated:
SEC Involved in 36 Subprime Mortgage Industry Probes
:
Updated:
FINRA, SEC, and NASAA Announce New Initiative for Protecting Senior Investors
:
Updated:
Detroit Accounting Firm Named in Lawsuit Involving Alleged Ponzi Scheme
:
Updated:
U.S. Supreme Court Decides That 401(k) Retirement Participants Can Sue for Losses Under ERISA
:
Updated:
Allianz Life Insurance Settles Inappropriate Fixed Annuity Sales Allegations for $10 Million
:
Updated:
Goldman Sachs, Merrill Lynch, Lehman Brothers, and Other Investment Firms Deal with Frozen Auction-Rate Securities
:
Updated:
Goldman Sachs Settles Enron Fraud Lawsuit with University of California for $11.5 Million
:
Updated:
Pondering the SEC’s Role in the Subprime Mortgage Crisis
:
Updated:
Banc One Securities Will Settle FINRA “Unsuitable” Deferred Variable Annuities Charges for $225,000
:
Updated:
Heartland Advisors Inc. Settles SEC Charges for $3.9 Million
:
Updated:
SEC-Commissioned Report Finds that Investors Have A Hard Time Telling the Difference Between the Roles of Broker-Dealers and Investment Advisers
:
Updated:
Former LFTC and LRAIC Broker Settles CFTC Charges that He Defrauded Investors
:
Updated:
Commodity Futures Trading Commission Charges Argentine Investment Adviser With Defrauding Investors in $43.8 Million International Scam
:
Updated:
Deutsche Bank Trust Company, Goldman Sachs Group, and Bank of America Corporation are Among the 21 Lenders Named in Cleveland, Ohio Lawsuit
:
Updated:
SEC & FINRA Examine CMO Sales and Marketing Practices
:
Updated:
K.W. Brown & Company, K.W. Brown Investments, & 21st Century Advisors Are Held Liable in $4.5 Million Cherry-Picking Scam
:
Updated:
Investors into Bear Stearns’ “Mult-Strategy Fund Warrants” Lose over 99% on Their Investment
:
Updated:
Class Action filed against Morgan Stanley on Behalf of Former Eastman Kodak Employees
:
Updated:
SMH Capital and Two of Its Brokers to Settle FINRA Charges Over Oversight Failures
:
Updated:
TV Judge’s Case Goes to U.S. Supreme Court
:
Updated:
Bear, Stearns, Merrill Lynch, Deutsche Bank Securities and UBS Securities Among the 19 Broker-Dealers to Settle SRO Charges Of Overstated Ad Volumes
:
Updated:
Investors Complain about Mutual Funds Sold by Morgan Keegan
:
Updated:
vFinance Investment Inc. is Slapped with SEC Charges for Failing to Retain E-Records
:
Updated:
Ex-Goldman Sachs Associate Will Serve Nearly Five Years in Prison for Insider Trading
:
Updated:
$600 Million Set Aside by State Street May Be Tip of Mortgage Litigation Iceburg
:
Updated:
Morgan Keegan Settles Arbitration Claim Made By Indiana Children’s Wish Fund
:
Updated:
Senior Vice President of Questar Capital (now Allianz Insurance) Claims He’s a Victim of Ponzi Scheme
:
Updated:
Two Former Morgan Stanley Advisers are named in SEC Market Timing Lawsuit
:
Updated:
SEC Investment Management Division Director Wants Mutual Funds to Call Their “Distribution Fee” a “Sales Charge”
:
Updated:
Goldman Sachs Class Securities Fraud Lawsuit is Dismissed
:
Updated:
Citibank and Columbia University Sued for Charging College Students Extremely High Interest Rates on School Loans
:
Updated:
NASAA Calls for Voluntary Securities Arbitration System
:
Updated:
Ronin Capital, Goldman Sachs Execution & Clearing, Penn Mott Securities, and Pearson Capital Management Receive Censures and Fines from NYSE Regulation
:
Updated:
JP Morgan Will Pay $500,000 to Settle Municipal Securities SRO Claim
:
Updated:
FINRA Says Democrats Nominate Picks For SEC Commission
:
Updated:
Bear Stearns, Deutsche Bank, and Merrill Lynch Among the Wall Street Firms Subpoenaed by New York Prosecutors
:
Updated:
FINRA Consolidation Results in Fewer Exams for Securities Firms
:
Updated:
Rafferty Capital Markets to Pay Over $400,000 in Sanctions Over Alleged Market Timing Trading Practices
:
Updated:
Morgan Stanley and WestLB Lose Cases Because of E-Mail Evidence—or Lack Thereof
:
Updated:
Citadel’s $2.5 Million Investment into E-Trade Raises New Questions About Mortgage-Backed Securities
:
Updated:
Supreme Court to Rule on Whether Employee Can Sue for 401K Losses
:
Updated:
Prosecutors Say Smart Online Inc. CEO Scammed Investors to Drive Up Shares
:
Updated:
Bear Stearns is Charged with Violating Securities Laws in Hedge Fund Case
:
Updated:
SEC Enforcement Director Highlights Agency’s Efforts To Eliminate Fraud Targeting Senior Investors
:
Updated:
Cromwell Financial Services and Several Employees Will Pay Over $20 Million to Settle Fraudulent Solicitations Allegations
:
Updated:
Ex-Freddie Mac CEO Leland Brendsel Will Pay $16.4 Million Fine to Settle OFHEO Action
:
Updated:
Oppenheimer to Pay $1 Million to Settle FINRA Bogus Data Charges
:
Updated:
Corporation Owner and His Two Companies Can Sue Accountants For Fraud Involving Third Entity
:
Updated:
Mortgage-Backed Securities, Collateralized Debt Obligations, Subprime Loans: Officials Scramble to Rescue Banks, Borrowers and Stock Market, but Forget Defrauded Investors
:
Updated:
Broker-Dealers Get New Rule Governing Deferred Variable Annuities Sales
:
Updated:
SEC and FINRA Announce Plan to Help Broker-Dealer CCO’s with Compliance Controls
:
Updated:
FINRA Says New Rule Book Consolidating NYSE and NASD Rules Might Not Be Completed Until 2009
:
Updated:
Bill Allowing American Stock Exchange to Increase Competitiveness With Second Tier Markets Passes House of Representatives
:
Updated:
FINRA Cautions Investors to Watch Out For “Pump-and-Dump Scams” Using Energy Stocks
:
Updated:
North American Securities Administrators Association Announces Investment Adviser Best Practices
:
Updated:
Ameriprise Financial Again Charged With Fraud
:
Updated:
Fired UBS Broker’s $2.4 Million NASD Arbitration Award is Upheld
:
Updated:
Guardian Wealth Management – Where Stockbrokers Go to Stop Working but Keep Earning
:
Updated:
Mortgage Backed Securities and Collateralized Debt Obligation Losses Mount as Lawyers Weigh Investors’ Options
:
Updated:
Ex-Wood Rivers Partners Hedge Fund Manager to Serve 3 Years in Prison for Defrauding Investors of $88 Million
:
Updated:
Merrill Liable for $6 Million to Estate of Elderly Couple
:
Updated:
HSBC Securities, Citigroup Global Markets Inc., UBS Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Inc., and Interactive Brokers LLC Among Firms Disciplined by NYSER
:
Updated:
Fidelity Investments and The Vanguard Group Offer Retirees Managed-Payout Funds
:
Updated:
Morgan Stanley Former Associate and Husband Sentenced in Insider Trading Scheme
:
Updated:
Interactive Brokers LLC Sanctioned for Failing to Supervise Its Compliance Staff
:
Updated:
MetLife Securities Broker Charged with Stealing from 9/11 Victim’s Widow
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Updated:
SEC Commissioner Annette Nazareth’s Departure Leaves Agency With No Democrats On Panel
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Updated:
Oppenheimer, Morgan Stanley, Nomura Securities, and A.G. Edwards Traders Face SEC Charges of Stealing Stock Loan Kickbacks Worth $12 Million Plus
:
Updated:
Merrill Lynch, Morgan Stanley and Bear Stearns Suffer Losses as Ratings Agencies Are Grilled over Sub-prime’s
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Updated:
Morgan Stanley Fined $7.5 Million by SEC for Trade Confirmation Violations
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Updated:
Citigroup, Lehman Brothers, DeutscheBank and other Firms Fined for Failing to Deliver Trade Confirmations.
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Updated:
EKN Financial Services Fined and Sanctioned for Transactions in Unregistered Securities
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Updated:
Study Says Securities Arbitrators Often Expunge Investor Settlements from Brokers’ Records
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Updated:
New Primary Regulator of Securities Brokerage Firms Is Run Only By Brokerage Firms
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Updated:
Former GunnAllen Financial Branch Manager Allegedly Involved in Partnership Ponzi Scheme
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Updated:
Enforcement Actions Against Brokerage Firms And Individuals Went Down in 2006, Says Study
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Updated:
Former InterSecurities Brokers Investigated for Fraud
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Updated:
Stock-Loan Traders from Morgan Stanley, Janney Montgomery Scott, and Other Brokerage Firms Charged In $12 Million Stock-Loan Scam by SEC and DOJ
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Updated:
Callan Associates Resolves SEC’s Incomplete Disclosure of Conflict Charges
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Updated:
Morgan Stanley to Pay $12.5 Million in Compensation and Fines
:
Updated:
Ex-Goldman Sachs & Co. Employee Pleads Guilty To Operating Multi-Million Dollar Insider Trading Scheme
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Updated:
Department of Defense Continues Crack Down on Crooked Financial Advisers Targeting Military Personnel
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Updated:
SEC Investigates Credit Rating Agencies’ Policies Regarding Debt-Related Securities
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Updated:
Shame on you Moodys! Shame on you S&P! A pox on both your houses!
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Updated:
SEC Provides Brokerage Firms with New Loophole to Avoid Breach of Duty to Investors
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Updated:
Morgan Stanley Allegedly Made Illegal Financial Sales Calls to Individuals from CareerBuilder.com
:
Updated:
Broker-Dealer Legacy Financial Shuts Down Operations
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Updated:
SEC and FINRA Say “Free Lunch” Seminars are Investment Scams Targeting Seniors
:
Updated:
Highly Touted Whistleblower Protection Law Is Lost in the Wind
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Updated:
Fraud is Cause of Financial Loss! Say One in Five Older Americans
:
Updated:
Money Manager Sentinel Management Group is Missing $505 Million from Accounts
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Updated:
FINRA Is Pressured to Cut Ties Between Public Arbitrators and the Industry
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Updated:
SEC Files Charges in $428 Million Securities Fraud Case Over Exploitation of Senior Investors
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Updated:
NASD Successor “FINRA” Hypes Retail Investor Online Info Section
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State Regulators’ Association Seeks to Abolish Bogus Finanical Advisory Designations
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Updated:
Pump and Dump Scheme Involving Prime Time Stores Inc. Sends Global Spam Levels Up 30%
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Updated:
American Funds’ Europacific Growth Fund, Allegiant Advantage Fund, and Vanguard 500 Index Fund Are Among Mutual Funds Offering Data to Investors Via SEC’s EDGAR
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Updated:
Wealth Advisor Institute Calls for Reforms of the U-5 Termination Process For Brokers
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Updated:
Business Optimism over SEC ‘Reforms’ – That is, to Dismantle Securities Regulations!
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Updated:
New York Court Sides with Ameritrade – Redefines “Best Execution”
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Updated:
Hedge Funds Plead Guilty in Scam Costing Victims $194 Million
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Updated:
SEC Bows to Pressure – Pulls List of Those Linked to Terrorists
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Updated:
Hartford to Pay $115 Million for Late Trading – and More!
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Updated:
Morgan Stanley Fined Again – This Time for Overcharges
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Updated:
Weekly Update Aug. 1, 2007 Wall Street Notes
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Updated:
What Worries Your Broker? This Should Scare You!
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Updated:
Merrill Manager at Center of Harassment Claim Now at Southwest Securities – But Claims and Counterclaims Continue
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Updated:
Loss on Enron, Worldcom, etc.? It May Not Be Too Late!
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Updated:
Three Letter Symbols for NASDAQ Stocks? Is Nothing Sacred on Wall Street?
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Updated:
Viaticals: Ghoulish Wall Street Even Seeks to Profit on the Dying
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Updated:
FSC Securities Unit of AIG – A ‘Cozy’ Place for Fraud?
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Updated:
Industry Group Wants to “Reform” – Not End – Abuse Prone B-Shares
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Updated:
Merrill Lynch Ordered to Pay $1.6M to Former Broker for Ethnic Bias – But Will This Survive Appeal?
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Updated:
Wall Street Wars VII: SEC Chairman to RIAs – “Greetings” – A Regulator on Steriods?
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Updated:
Citigroup’s Smith Barney Unit Ordered to Pay $50 Million over Widespread Fraud Charges
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Morgan Stanley Last Again in Customer Satisfaction
:
Updated:
As Wall Street Seeks to Lower the Bar, Investors Continue to Say They Value Ethics
:
Updated:
What’s in a Title? Washington State Securities Regulators Want to Know
:
Updated:
Securities Class Action Filings Fall Dramatically
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Updated:
What’s in a Name? Ask the NASD
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Updated:
Enron Victims, Now Victims of Their Own Government, Finally Find Friends in Former Regulators
:
Updated:
Edward Jones Must Pay $75 Million For Failing to Disclose Mutual Fund Incentives
:
Updated:
Wedbush Hit with Nun’s Complaint over CMO’s – May Have More Than Brokers in Common with Brookstreet
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Updated:
UBS to Pay $23 Million over Charges by NY Attorney General of Abuse in Fee-based Accounts
:
Updated:
SEC Fines of Invesco and AIM Advisors to Fund $375 Million in Payments to Victims of Late Trading Fraud in Mutual Funds
:
Updated:
Securities America Fined $375,000 Over Secret Commissions Directed to Its Broker
:
Updated:
Margin Debt on NYSE Stocks Over $350 Billion – Record Debt Brings New Warnings of Risks
:
Updated:
Schwab to Distribute $3.5 Billion to Its Shareholders by Buying Back Over 100 Million Shares
:
Updated:
SEC Announces $37Million Distribution To Investors in Columbia Funds Harmed by Timing Scheme
:
Updated:
Latest in “Race to the Bottom” by Securities Regulators: Relaxed Accounting Procedures for Foreign Issuers
:
Updated:
Oppenheimer Fined $1 Million for Abuse of Widow – Later Told She “Only Had Herself to Blame”
:
Updated:
Former Trautman Wasserman Executive is Latest to be Fined in Widespread Late Trading Scandal
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Updated:
Ameriprise Broker Arrested for Defrauding Investors – Clients Say He Cashed Checks Made Out to Ameriprise.
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Updated:
Government Tightens Noose on Top Securities Class Action Attorneys
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Updated:
Morgan Stanley Fined By State Regulator for Failure to Supervise Mutal Fund Sales
:
Updated:
Wall Street Wars, Part VI: After Losing “Merrill Rule” Case, SEC is Exploring Changes in Investment Advisors Act – BEWARE!
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Updated:
Some Brookstreet Brokers Become Wedbush Morgan Brokers
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Updated:
As Bear Stearns Hedge Fund Faced Liquidation its Head Manager’s Golf Game Did Not Suffer
:
Updated:
SEC’s New Terrorism Search Site Is the Latest Target of Fear-Mongering Tactics by Business Community
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Updated:
Update: Do Insurance Companies Use Scam Artists to Sell Unsuitable Annuities to the Elderly?
:
Updated:
Judge Tosses Suit by Elderly Who Claim They were Misled into Annuity Losses
:
Updated:
SEC Halts Debt Offering by Amerifirst Funding, Alleging Fraud Targeting Elderly Investors
:
Updated:
While Former Merrill Lynch & Co. Stockbroker is Found Guilty of Witness Tampering, Seven Other Defendants are Acquitted in “Squawk Box” Securities Fraud Case Involving A.B. Watley Employees
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Updated:
Want to Make Big Bucks Without Responsibility? Become a Corporate Director
:
Updated:
Follow Up: North Carolina Treasurer Urges Elimination of Brokerage Firms Voting of Client Shares
:
Updated:
SEC Declines to Exempt From Broker Dealer Registration A Consulting Firm Which Raises Capital For Small Businesses
:
Updated:
SEC Alleges that a Hedge Fund, Its Owner and Its Chief Trader Illegally Earned $57 Million in a Late-Trading Scam.
:
Updated:
U.S. Treasury Official Brags of Close Ties to Wall Street in Advancing Support of the “Race to the Bottom” in Compliance Laws
:
Updated:
Wells Fargo and its Former Research Director Fined Over Undisclosed Conflict
:
Updated:
MML Investors Services, NYLIFE Securities, Securities America and Northwestern Mutual Investment Services Fined a Total of $1.2 Million for Mutual Fund Violations
:
Updated:
H&R Block Earnings are Sunk by Subprime Mortgage Unit
:
Updated:
Securities Industry Regulatory Authority (SIRA) Will Replace NASD as Name of Combined SRO (But Why?)
:
Updated:
Wachovia Securities Settles NASD Supervision Charges and Agrees to $2 Million Fine
:
Updated:
JB Oxford Violated Late Trading Rules but Claims Against Its Former General Counsel Are Dismissed
:
Updated:
Son of Brookstreet Founder Joins Wedbush Morgan and Invites Brookstreet Brokers to Join Him
:
Updated:
Brookstreet Liquidates Portfolio after Margin Calls by Fidelity Unit
:
Updated:
Stockbrokers and Their Firms: The Story of Bad Apples from Bad Orchards
:
Updated:
Do Wall Street Powerhouses Earn Billions Through Fraudulent Fund Sweeps?
:
Updated:
This Time the Feds -Not the SEC- Abandoned Enron Investors
:
Updated:
NASD and NYSE Seek Guidelines To Supervise Electronic Communications
:
Updated:
Wrap fees? Beware of “investment professionals” who say they only charge a percent or two!
:
Updated:
Morgan Stanley is Fined $500,000 for Faulty Oversight
:
Updated:
News Flash: Brookstreet Securities Closes its Doors
:
Updated:
Defendants Ordered to Pay $14 Millions Over Alleged Prime Bank Scheme
:
Updated:
Will Brookstreet Securities Be Wiped Out by a CMO Debacle?
:
Updated:
Wall Street Wars: When Investment Advisors Sued the SEC and Won Did They ‘Tug on Superman’s Cape?’
:
Updated:
Merrill Lynch Seizes $400 Million of Assets from a Bear Stearns Managed ‘Subprime’ Hedge Fund for Failing to Meet Margin Calls
:
Updated:
PBHG Investors Harmed By Fraudulent Market Timing To Receive $73 Million
:
Updated:
NASD Says Citigroup To Pay $15.2 Million For Misleading BellSouth Retirees
:
Updated:
Wall Street Wars: SEC Chairman’s “Payback” to Investment Advisors?
:
Updated:
Lawyers Speak Out Against Dry Cleaner “Lost Pants” Suit
:
Updated:
Putnam and Its Former Portfolio Managers Settle SEC Charges Over Short-Term Trading of Mutual Fund Shares
:
Updated:
HSBC Brokerage Ordered by NASD to Pay $250K to Settle Best Execution Charges
:
Updated:
Janus Avoids Responsibility to Mutual Fund Shareholders for Alleged Role in Widespread Market Timing Scandal
:
Updated:
Fees on 12 B-1 Mutual Funds (or “B Shares”) Under Renewed SEC Scrutiny
:
Updated:
AOL Time Warner Shareholders May be Able to File Late Fraud Claims if Class Certification is Denied.
:
Updated:
Securities America Fined $15 Million for Luring Retirees Using Exaggerated Promises
:
Updated:
Credit Suisse Employee Arrested in Insider Trading Scheme
:
Updated:
Barclays Bank and its Former Trader to Pay Over $11 Million To Settle SEC Insider Trading Claims
:
Updated:
“High Yield” Investment Scam Costing Investors Over $50 Million Results in Conviction of Four
:
Updated:
Should Brokerage Firms Continue to Vote Their Clients Shares Without Permission, Including for Corporate Directors?
:
Updated:
California Can Not Require Higher Standards for NASD Arbitration
:
Updated:
SEC Says It Has No Jurisdiction To Review NASD Action Against Sky Capital
:
Updated:
Former Wood River Partners LP Hedge Fund Manager Pleads Guilty to $88 Million Securities Fraud Scheme
:
Updated:
Annuity Sales Fraud of Seniors is Growing, Says the NASD
:
Updated:
North Cove Ventures LLC and Former Connecticut State Senator DiBella Found Liable For Aiding And Abetting Fraudulent Investment Scheme
:
Updated:
Order Banning Former Head of Bancshareholders of America from the Securities Industry Affirmed by the SEC
:
Updated:
Wachovia Brokerage Buying A.G. Edwards to Become Second Only to Merrill Lynch
:
Updated:
SEC Favors Companies Committing Fraud Over Investors As Shown by Its Recent Actions
:
Updated:
Survey Shows 43% of Investors Can Easily be Scammed
:
Updated:
Former Head of Commodity Trading and Head Trader at Citibank Both Jailed for Inflating Profits
:
Updated:
Disputes With Former Brokerage Firms and Brokers Must be Arbitrated
:
Updated:
According to Survey by Vestment Advisors Inc., Many Financial Advisers Knowingly Work Around Their Firms’ Compliance Rules
:
Updated:
Proposed Act Requires SEC Registration of Hedge Fund Advisers
:
Updated:
Former Reagan Budget Head Stockman Charged With Securities Fraud
:
Updated:
Citigroup, Merrill Lynch and Lehman Ex-Brokers Face Retrial in Eavesdropping Case
:
Updated:
SEC says AIG and Other Insurance Companys’ Products Used for Earnings Fraud
:
Updated:
SEC Allegations Against Broker Accused of Fraudulent Trading Scheme Involving Archer Alexander Securities Corp. Will Not Be Dismissed, Says Court
:
Updated:
SEC Says Credit Suisse First Boston Broker’s Tips on TXU Used by Pakistani Banker
:
Updated:
RBC Dain Rauscher Fined $90K for Compliance Program Flaws
:
Updated:
SIPC Insurance of Brokerage Accounts to be Disclosed to Investors But Not Explained
:
Updated:
“Pump and Dump”, Annuities, Real Estate, Affinity Fraud and “Free Lunch Seminars” Are Top Scams in 2007 Say State Securities Regulators
:
Updated:
Wachovia is Among the Financial Institutions Accused of Assisting Scam Artists To Bilk Seniors
:
Updated:
Micah S. Green, Expected New CEO of Largest Securities Industry Group, Resigns During Scandal
:
Updated:
Penthouse International Inc., a Former Director, and a Former Shareholder Agree to Settle SEC Charges of Alleged Involvement in a Revenue Recognition Scheme
:
Updated:
Swindlers of Seniors Targeted by Massachusetts’ Head Securities Regulator
:
Updated:
LPL Financial Services is Playing Hardball to Prevent Competitor from Raiding Its Newest Brokers.
:
Updated:
Citigroup Will Pay $200,000 in SEC Sanctions Connected to LMWW Auction Market Misconduct
:
Updated:
Claims Against Goldman Sachs for Alleged Fannie Mae Fraud Must Be Filed Individually
:
Updated:
When Asked the Fate of $134 million of Investors’ Funds Ex-professor Claims “Amnesia.”
:
Updated:
Coalition of Former Enron Shareholders Asks the SEC for Help In Holding Banks Accountable for Their Role in Enron’s Fraud Scheme
:
Updated:
U.S. Senators Push For The End of Mandatory Arbitrations
:
Updated:
NASD Fines Two Fidelity Brokerage Subsidaries $400,000 for Distributing Misleading Sales Literature Regarding Systematic Investment Plans Sold to Military Personnel
:
Updated:
SEC Orders Morgan Stanley to Pay $7.9 Million for Failing to Provide “Best Execution” on Client Trades
:
Updated:
Is the Stock Market Boom Really a Bust?
:
Updated:
State Securities Registration Laws Will No Longer Apply to Nasdaq Capital Market Listed Securities
:
Updated:
Former Morgan Stanley Compliance Officer And Her Husband To Plead Guilty For Involvement In Insider Trading Scheme
:
Updated:
A Warning on Risk in Securities backed by Commercial Mortgages
:
Updated:
Ex-Morgan Stanley Client Services Representative Stole Proprietary Information About Hedge Funds, Says U.S. Attorney Michael Garcia
:
Updated:
Securities and Exchange Commission Charges Ex-Portfolio Manager With Failing To Disclose Personal Stock Transactions
:
Updated:
URGENT UPDATE: Edward Jones Seeks to Settle All Claims “Known and Unknown” for $18.00 per Current and Former Client Unless They Take Action Before June 11
:
Updated:
Securities and Exchange Commission Looks At Arbitration
:
Updated:
Edward Jones Issues Settlement Checks To Customers as Ordered by SEC for Kickback Scheme
:
Updated:
Examining SEC Chairman Christopher Cox’s Leadership
:
Updated:
Study by NASD Foundation Looks At Why Elderly Are Vulnerable To Investment Fraud
:
Updated:
All Sides Want SEC Support In Case Involving Liability Of Second Parties
:
Updated:
The 10 Leading SEC Enforcement Developments Of 2006 (Part II)
:
Updated:
The 10 Leading SEC Enforcement Developments Of 2006 (Part I)
:
Updated:
Registered Limited Liability Partnerships Interests Investment Contracts Are Within Federal Securities Laws’ Meaning, Says U.S. Court of Appeals for the 11th Circuit
:
Updated:
SEC Commissioner Says Simplified Disclosure Document Will Help Retirees Make Investment Decisions
:
Updated:
NASD Hearing Panel Sanctions Former Knight Securities Executives for Supervisory Failures
:
Updated:
Enron Shareholders Want The U.S. Supreme Court to Review 5th Circuit Certification Decision
:
Updated:
NASD Warns Investors – Not Brokers – of the Risks Associated with Using Margin to Purchase Securities
:
Updated:
JP Morgan Chase and Co. Not Liable For Securities Fraud Related To Enron Collapse, Says New York District Court
:
Updated:
Citigroup May Reduce Compliance in Cost Cutting Move.
:
Updated:
Commodities Regulators Accuse Firms of Misrepresenting Public
:
Updated:
NASD Form U-5 Notice of Termination Statements Are ‘Absolutely Privileged,’ Says A Divided New York Court of Appeals
:
Updated:
Purchasers of USA Capital First Trust Deeds May Have Been Defrauded
:
Updated:
Is the Arbitration System Stacked In Favor Of Brokerage Firms and Against Investors?
:
Updated:
Court Rules That SEC Exceeded Authority With Decision Regarding IAA Exemption
:
Updated:
SEC Charges Two Former In-House Enron Attorneys With Violating Securities Laws
:
Updated:
U.S. Senator Durbin Wonders Whether Smaller Budget Can Satisfy the Commodity Futures Trading Commission’s Urgent Needs
:
Updated:
Enron Litigation Continues With Actions by Stockholders and Regulators of Accounts.
:
Updated:
Goldman Sachs Affiliate Agrees To Pay $2 Million in Fines and Penalties Over Short-Sale Scheme Charges by NYSER and the SEC
:
Updated:
New Regulations, Filed By The Massachusetts Securities Division, Define Credentials Standards For Advisors To Senior Investors
:
Updated:
More Good News for Morgan Stanley! Record Earnings, a Jury Verdict Overturned and a Slap on the Wrist by Regulators.
:
Updated:
Appeals Court Shoots Down Enron Stock Victims, But Leaves Door Open to Law Suits and Arbitration Claims.
:
Updated:
Banc of America Securities LLC to Settle SEC Charges By Paying $26 Million In Penalties and Disgorgement
:
Updated:
In Hi-Tech Market Manipulation Case By Unknown Traders, Securities and Exchange Commission Freezes $3 Million To Protect Brokerage Firms
:
Updated:
NYSE Regulation Fines Swiss American Securities Inc. and UBS Securities, LLC For Violations
:
Updated:
The SEC And The U.S. Attorney’s Office File Separate Criminal And Civil Actions In Major Insider Trading Schemes Involving Confidential Information From UBS Securities And Morgan Stanley
:
Updated:
SEC Charges Against Two Former Citigroup Officials For Fraudulent Fund Dealings Are Dismissed
:
Updated:
Former UBS Vice President Pleads Guilty To Conspiring With Hedge Fund Operator And Founder Of Capital Management Group To Bilk At Least $2.5 Million From Over 40 Investors
:
Updated:
Putnam Retail Management, Scudder Distributors, and AllianceBernstein Investments Say They Will Pay $700,000 Settlement Over NASD Allegations That They Violated Non-Cash Compensation Rules
:
Updated:
The NASD Charges Two Former Prudential Brokers And A Branch Manager With Helping A Hedge Fund Manager Engage In Market Timing Through Variable Annuities
:
Updated:
U.S. Bankruptcy Court Says Bear Stearns Must Pay More Than $125 Million for Collapsed Hedge Fund Fiasco
:
Updated:
Former Prudential and E.F. Hutton Exec. Weighing Problems at Current Firm.
:
Updated:
Morgan Stanley and LVMH Settle Analyst Defamation Suit
:
Updated:
Why Regulators Have A Hard Time Charging Executives At Prominent Securities Firms
:
Updated:
Few Brokerages Disclose “Shelf Space” Agreement Details
:
Updated:
Raymond James Financial Services Is Fined $2.75 million By NASD
:
Updated:
Recent Actions By The SEC Brings Up The Question: Is It On The Side of Individual Shareholders Or Does It Protect Accountants And Corporate Executives?
:
Updated:
Merrill Lynch Settles Class Action Lawsuits With Mutual Fund Investors Regarding Analyst Research And Internet Companies
:
Updated:
NASD Warns Seniors About Selling Life Insurance Policies For Cash
:
Updated:
According to NASD, Banc of America Investment Services Inc. Agrees To Pay $3 Million For Failing To Comply With Anti-Money Laundering Requirements
:
Updated:
Securities Officials In Massachusetts File Charges Against Bulldog Investors And Principal, Phillip Goldstein
:
Updated:
MBIA Inc. Will Pay $75 Million To Settle SEC Securities Fraud Charges
:
Updated:
Arbitration Panel Concludes that Former Gemstar CEO Must Pay Company $93.6 Million
:
Updated:
Securities and Exchange Commission Charges Clarion Management LLP and Its Hedge Fund Manager With Involvement In Alleged Market Timing Scheme
:
Updated:
Securities and Exchange Commission Approves Improvements To The NASD’s Code of Arbitration Procedure
:
Updated:
SEC Says Broker-Dealers Are Not Following Supervisory Procedures
:
Updated:
American Association for Justice Asks SEC To Publicly Disclose Relationship To Merrill Lynch
:
Updated:
Former Putnam CEO Agrees To Pay $75,000 In SEC Charges
:
Updated:
JP Morgan Chase Reports Strong Profits For 4th Quarter From Investment Banking Growth And The Sale Of Their Trust Unit
:
Updated:
In Alleged $194 Million Scam, Florida Hedge Fund Operators Of KL Financial Group Face Fraud And Other Criminal Charges
:
Updated:
In $1 Billion Viatical Scheme Connected To Mutual Benefits Corp., A Doctor From South Florida Pleads Guilty
:
Updated:
NASD Accuses Morgan Stanley Of Failing To Hand Over Emails And Blaming 9/11
:
Updated:
Hampton Porter Investment Bankers’s Stockbrokers, Convicted For Securities Fraud In Pump-And-Dump Scheme, To Be Sentenced This Year
:
Updated:
N.Y. Attorney General’s Office Sues UBS Financial Services, Inc.
:
Updated:
NASD Arbitration Panel Says Ameriprise’s Securities America Must Pay Retired American Airline Pilots Up To $9.3 Million
:
Updated:
SEC Files Lawsuit Against Hedge Fund Manager Over Pipe Trading Scheme
:
Updated:
Morgan Stanley Awards CEO John Mack $40 Million Bonus
:
Updated:
SEC’s Enforcement Division To Redress Legal And Regulatory Violations
:
Updated:
For Securities Fraud, Theft, And Racketeering, Colorado Appeals Court Affirms Financial Adviser’s 100-Year Prison Term
:
Updated:
SEC Wins Liability Ruling V. 800America.com Inc. Principal
:
Updated:
Johnson Capital Management Inc. and Samaritan Asset Management Services Inc. Are Sued For Alleged Illegal Market Timing Scheme
:
Updated:
NASD and NYSE Group Inc. Move Toward SRO Merger
:
Updated:
For Investors, REIT’s Go Global
:
Updated:
SEC Files Emergency Action Against BMG Advisory Services Inc. And Ethan Thomas Company To Stop Alleged $2 Million Senior Citizen Investor Fraud Case
:
Updated:
Oppenheimer CEO Charged by NASD with Knowingly Producing Inaccurate Data
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