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Regulation & Compliance

SEC Seal
Regulation & Compliance
Cascade Investment Group Settles SEC Charges Over Share Class Disclosure ViolationsCascade Investment Group Settles SEC Charges Over Share Class Disclosure Violations

Hybrid b/d and RIA Cascade Investment Group recommended high-fee mutual fund share classes when cheaper options were available and failed to disclose the fact, the SEC claims.

byPatrick Donachie, Senior Reporter
Jul 15, 2021
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1 Min Read
New York Attorney General Letitia James
Regulation & Compliance
TIAA to Pay $97 Million to Settle Retirement Account Rollover AccusationsTIAA to Pay $97 Million to Settle Retirement Account Rollover Accusations
byPatrick Donachie
Jul 13, 2021
1 Min Read
Kestra sign
Regulation & Compliance
Kestra Firms to Pay $10M for Failing to Disclose CompensationKestra Firms to Pay $10M for Failing to Disclose Compensation
byPatrick Donachie
Jul 12, 2021
1 Min Read
Connecticut Firm Ordered to Pay $1.5M for Defrauding Clients
Regulation & Compliance
Connecticut Firm Ordered to Pay $1.5M for Defrauding ClientsConnecticut Firm Ordered to Pay $1.5M for Defrauding Clients
byPatrick Donachie
Jul 9, 2021
1 Min Read
SEC Headquarters
Regulation & Compliance
SEC Charges Georgia Advisor for Selling Unregistered Funds That Lost MillionsSEC Charges Georgia Advisor for Selling Unregistered Funds That Lost Millions
byPatrick Donachie
Jul 7, 2021
1 Min Read
Genstar to Buy Majority Stake in Compliance Consulting Firm Foreside
Regulation & Compliance
Genstar to Buy Majority Stake in Compliance Consulting Firm ForesideGenstar to Buy Majority Stake in Compliance Consulting Firm Foreside
byDiana Britton
Jul 7, 2021
1 Min Read
2012 AUM 43 billion 2011 AUM 391 billion AUM per Advisor 256 million
Regulation & Compliance
SEC Fines Securities America $1.75M for Surveillance Violations
SEC Fines Securities America $1.75M for Surveillance Violations
Jul 6, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
businessman handcuffed
Regulation & Compliance
Opinion: Three Ways Regulators Throw Advisors Under the Bus
Opinion: Three Ways Regulators Throw Advisors Under the Bus
Jul 2, 2021
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1 Min Read
byJonathan Henschen, President
robinhood-app-phone-2.jpg
Regulation & Compliance
Advisors Question How FINRA Settlement Will Impact Robinhood
Advisors Question How FINRA Settlement Will Impact Robinhood
Jul 2, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
prison-cell-doors-bars.jpg
Regulation & Compliance
Former Minnesota Advisor Sentenced to Seven Years in Prison for $2.3M Fraud
Former Minnesota Advisor Sentenced to Seven Years in Prison for $2.3M Fraud
Jun 30, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
robinhood-trading-app.jpg
Regulation & Compliance
Robinhood to Pay FINRA-Record $70 Million Penalty Over Lapses
Robinhood to Pay FINRA-Record $70 Million Penalty Over Lapses
Jun 30, 2021
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1 Min Read
byJesse Westbrook
Department of Justice seal
Regulation & Compliance
Florida Man Pleads Guilty to $5 Million Securities Fraud Scheme
Florida Man Pleads Guilty to $5 Million Securities Fraud Scheme
Jun 29, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
US SEC building in Washington, D.C., 2008
Regulation & Compliance
SEC: California Firm Settles Over 12b-1 Fee Disclosures
SEC: California Firm Settles Over 12b-1 Fee Disclosures
Jun 28, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Merrill Lynch
Regulation & Compliance
FINRA: Merrill Lynch to Pay $11.5M Over Lax UIT Sales Supervision
FINRA: Merrill Lynch to Pay $11.5M Over Lax UIT Sales Supervision
Jun 25, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
guggenheim partners
Regulation & Compliance
Guggenheim Partners to Settle SEC Allegations of Impeding Whistle-Blowers
Guggenheim Partners to Settle SEC Allegations of Impeding Whistle-Blowers
Jun 24, 2021
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1 Min Read
byBen Bain
fiduciary-standard-panel.png
Regulation & Compliance
Investor Advocates Call for Revamped Form CRS
Investor Advocates Call for Revamped Form CRS
Jun 23, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
gensler-hearing.png
Regulation & Compliance
Gensler Says Assets Worth Trillions May Need Tighter Rules
Gensler Says Assets Worth Trillions May Need Tighter Rules
Jun 23, 2021
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1 Min Read
byBen Bain, Jonathan Ferro and Tom Keene
farmers-insurance-sesame-street.jpeg
Regulation & Compliance
FINRA: Farmers Financial Fell Short in VUL, Mutual Fund Supervision
FINRA: Farmers Financial Fell Short in VUL, Mutual Fund Supervision
Jun 22, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
virginia-flag.jpg
Regulation & Compliance
Virginia Finalizes Best Interest Rule for Annuities
Virginia Finalizes Best Interest Rule for Annuities
Jun 21, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
stock-market-pointing-screens.jpg
Regulation & Compliance
SEC Charges Fla. Advisor With Cherry-Picking Profitable Trades
SEC Charges Fla. Advisor With Cherry-Picking Profitable Trades
Jun 18, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Headquarters
Regulation & Compliance
Yet Another Unregistered Broker Charged in EquiAlt Scam
Yet Another Unregistered Broker Charged in EquiAlt Scam
Jun 17, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
business-analysis-charts.jpg
Regulation & Compliance
Compliance at Scale: An Overlooked Enabler for Growth
Compliance at Scale: An Overlooked Enabler for Growth
Jun 17, 2021
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1 Min Read
byMark Alcaide
retiree in pool
Regulation & Compliance
Regulators Release Training to Spot Financial Exploitation of Seniors
Regulators Release Training to Spot Financial Exploitation of Seniors
Jun 16, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
Colorado RIA Settles With SEC Over High Investment Fees
Colorado RIA Settles With SEC Over High Investment Fees
Jun 15, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
US SEC building in Washington, D.C., 2008
Regulation & Compliance
Commissioners Question SEC's Agenda
Commissioners Question SEC's Agenda
Jun 14, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
businessman handcuffs money
Regulation & Compliance
DOJ: Mass. Advisor Faces Prison for Looting Clients' Retirement Funds
DOJ: Mass. Advisor Faces Prison for Looting Clients' Retirement Funds
Jun 10, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
businessman-behind-bars-jail-Pict Rider.jpg
Regulation & Compliance
Former Cetera Advisor Gets Five Years in Prison for Defrauding Clients
Former Cetera Advisor Gets Five Years in Prison for Defrauding Clients
Jun 9, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Gary Gensler
Regulation & Compliance
SEC Chairman Proposes Review of Rules Underpinning Stock Trading
SEC Chairman Proposes Review of Rules Underpinning Stock Trading
Jun 9, 2021
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1 Min Read
byBen Bain
SEC Seal
Regulation & Compliance
SEC: California Firm to Pay $1.2 Million for Share Class Conflicts
SEC: California Firm to Pay $1.2 Million for Share Class Conflicts
Jun 4, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
handcuffs money
Regulation & Compliance
Former LPL Advisor Charged in $2.8 Million Fraud
Former LPL Advisor Charged in $2.8 Million Fraud
Jun 3, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC Charges Portfolio Managers With Misleading Investors Over Funds’ Risks
SEC Charges Portfolio Managers With Misleading Investors Over Funds’ Risks
Jun 1, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Finra
Regulation & Compliance
FINRA Temporarily Withdraws Broker Expungement Rule from SEC
FINRA Temporarily Withdraws Broker Expungement Rule from SEC
May 28, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SIFMA regulatory panel.png
Regulation & Compliance
SIFMA Reg Watchers Expect Only Minor Tweaks to Trump-Era Fiduciary Rule
SIFMA Reg Watchers Expect Only Minor Tweaks to Trump-Era Fiduciary Rule
May 28, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA
Regulation & Compliance
FINRA Planning to Hike Fees in 2022
FINRA Planning to Hike Fees in 2022
May 25, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-building-new.jpg
Regulation & Compliance
SEC Bars Broker For Churning Client Accounts
SEC Bars Broker For Churning Client Accounts
May 25, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter

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