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Advisors Paying More for Compliance

RIAs and broker/dealers say they are spending 9 percent more money -- and a lot more time -- on compliance…

Investment Adviser Charged in Multi-Million Dollar Options Trading Scheme

The SEC alleges that, starting in approximately 2010, Michael Scronic began to raise money from at least 42 friends and…

The Securities Law Blog: FINRA Claims against Sandlapper Securities

Attorneys representing investors are investigating claims against a small broker dealer in South Carolina  after FINRA filed disciplinary proceedings alleging…

Why advisors will feel freer to make career moves in 2018

Many financial advisers are shaking off the uncertainties of 2017 and getting ready to consider making the moves that they…

FINRA Hearing Panel Dismisses Charges against Registered Rep.

In a rare decision, a FINRA hearing panel dismissed all charges against a registered representative who was accused of falsifying…

Overseas Stock Manipulator Settles SEC Charges

The Securities and Exchange Commission today announced that an overseas stock manipulator has agreed to pay nearly $800,000 and be…

SEC Files Fraud Charges Against Brokers Targeting Federal Retirees

Elder fraud is becoming a significant concern of regulators, and firms. As the older population grows, so do the issues…

Wells Fargo Huge Data Breach – Lessons for Firms and Their Lawyers

Wells Fargo Huge Data Breach - Lessons for Firms and Their Lawyers Multiple news sources are now reporting that Wells…

Attorney Barred From Appearing Before SEC

The Securities and Exchange Commission barred a New York-based attorney from appearing or practicing before it and acting as an…

Record SEC Award Expected for JPMorgan Whistleblowers

The SEC is expected to present the largest whistleblower award in its history – possibly $70.6 million or more to…