Securities and Exchange Commission (SEC) Enforcement Director Gurbir Grewal recently discussed notable first-of-their-kind enforcement actions that his division has pursued.
The Securities and Exchange Commission (SEC) recently voted to approve a pair of rule changes proposed by Cboe BZX Exchange, Inc. to list and trade shares of new exchange traded-products: the 2x Long VIX Futures ETC and the -1x Short VIX Futures ETF.
The Securities and Exchange Commission (SEC) has obtained an emergency court order freezing the assets of Ron Harrison, who allegedly operated an ongoing fraudulent scheme.
The Securities and Exchange Commission (SEC) has charged Laguna Niguel, TCFG Investment Advisors, TCFG’s affiliated broker-dealer TCFG Wealth Management, and CEO Richard Roberts with making false and misleading statements regarding fee markups to their clients.
The Securities and Exchange Commission (SEC) has barred a New Jersey-based advisor from the industry for allegedly operating a fraudulent “cherry-picking” scheme.
The Securities and Exchange Commission (SEC) has charged Michael Shillin for allegedly defrauding nearly 100 clients, including several elderly clients.
The Securities and Exchange Commission (SEC) is continuing its crackdown on numerous investment advisors that fail to disclose conflicts related to fund fees.
The Securities and Exchange Commission (SEC) has obtained a temporary restraining order (TRO) and asset freeze against a Minnesota couple who allegedly operated a Ponzi scheme for nearly a decade, which impacted at least 200 investors and raised almost $18 million.
The Securities and Exchange Commission (SEC) reported that it has obtained a temporary restraining order (TRO) as well as an asset freeze against Bullard Enterprises LLC and its owners, Jason Bullard and Angela Romero-Bullard.
Connecticut has become the 16th state to approve legislation governing the sales of annuity products based on a model rule designed by the National Association for Insurance Commissioners (NAIC).
This was the best of all possible outcomes and I cannot thank you and the team enough.
The Financial Industry Regulatory Authority (FINRA) has suspended and fined a former LPL advisor who allegedly completed 22 trades on behalf of a client without obtaining written consent. FINRA has issued a $5,000 fine and has suspended Michael Hartlett for 10 days.
A former RBC Wealth Management advisor lost his bid to reverse an industry bar, according to an appellate decision issued by the Financial Industry Regulatory Authority (FINRA).
While online trading platforms have surged in popularity during the pandemic, brokerage firms view self-directed investors as a source of new clients.
