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Regulation & Compliance

finra
Regulation & Compliance
FINRA: Firms Failed to Supervise Alt Mutual Fund SalesFINRA: Firms Failed to Supervise Alt Mutual Fund Sales

Cambridge Investment Research, Securities America and J.W. Cole Financial failed to see the risk as reps sold options-laden 'short-vol' LJM Preservation and Growth Fund to investors, according to the regulator.

byPatrick Donachie, Senior Reporter
Mar 31, 2021
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1 Min Read
courtroom judge bench
Regulation & Compliance
Financial Planner Who 'Lied Through His Teeth' During Trial Gets 17+ Year Prison SentenceFinancial Planner Who 'Lied Through His Teeth' During Trial Gets 17+ Year Prison Sentence
byPatrick Donachie
Mar 29, 2021
1 Min Read
morgan-stanley-revolving-door.jpg
Regulation & Compliance
Fired Morgan Stanley Reps Blame Law Firm's Bad AdviceFired Morgan Stanley Reps Blame Law Firm's Bad Advice
byPatrick Donachie
Mar 26, 2021
1 Min Read
SEC Seal
Regulation & Compliance
SEC Charges Unregistered Brokers Who Sold Allegedly Fraudulent SecuritiesSEC Charges Unregistered Brokers Who Sold Allegedly Fraudulent Securities
byPatrick Donachie
Mar 25, 2021
1 Min Read
idaho-gov-brad-little.jpg
Regulation & Compliance
Idaho Latest State to Finalize Best Interest Law for AnnuitiesIdaho Latest State to Finalize Best Interest Law for Annuities
byPatrick Donachie
Mar 22, 2021
1 Min Read
sec-seal-new.jpg
Regulation & Compliance
SEC, DOJ Charge SpaceX Engineer for Selling 'Insider Tips' on Dark WebSEC, DOJ Charge SpaceX Engineer for Selling 'Insider Tips' on Dark Web
byPatrick Donachie
Mar 19, 2021
1 Min Read
SEC seal
Regulation & Compliance
SEC Charges Unregistered Brokers Who Sold $24M in 1 Global Securities
SEC Charges Unregistered Brokers Who Sold $24M in 1 Global Securities
Mar 18, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
Q&A: Crenshaw Says SEC to Assess Reg BI Performance
Q&A: Crenshaw Says SEC to Assess Reg BI Performance
Mar 15, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
DOL sign
Regulation & Compliance
Biden's DOL Will Not Enforce Trump-Era ESG Rule
Biden's DOL Will Not Enforce Trump-Era ESG Rule
Mar 10, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
us-capitol-night-dome-2021.jpg
Regulation & Compliance
This Is What’s in the Senate’s $1.9 Trillion Stimulus Bill
This Is What’s in the Senate’s $1.9 Trillion Stimulus Bill
Mar 8, 2021
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1 Min Read
byLaura Davison
US SEC building in Washington, D.C., 2008
Regulation & Compliance
Hundreds of Firms Didn't File Form CRS, SEC Exam Director Says
Hundreds of Firms Didn't File Form CRS, SEC Exam Director Says
Mar 8, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
IAA-Peirce.png
Regulation & Compliance
Commissioner Peirce Says SEC Must Play Part in Any ESG Enforcement 'Sea Change'
Commissioner Peirce Says SEC Must Play Part in Any ESG Enforcement 'Sea Change'
Mar 5, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-building-new.jpg
Regulation & Compliance
SEC Ad Rule To Take Effect in May
SEC Ad Rule To Take Effect in May
Mar 5, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
SEC Creates New ESG Enforcement Task Force
SEC Creates New ESG Enforcement Task Force
Mar 4, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-flag-seal.jpg
Regulation & Compliance
SEC to Place More Focus on Climate Risks in 2021 Exam Priorities
SEC to Place More Focus on Climate Risks in 2021 Exam Priorities
Mar 3, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Keith Gill aka Roaring Kitty
Regulation & Compliance
'Roaring Kitty' Loses FINRA License
'Roaring Kitty' Loses FINRA License
Mar 3, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Gary Gensler
Regulation & Compliance
Gary Gensler Lays Out Enforcement Priorities at Senate Hearing
Gary Gensler Lays Out Enforcement Priorities at Senate Hearing
Mar 2, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Settles With Broker Who Used Aliases to Defraud Clients
Regulation & Compliance
SEC Settles With Broker Who Used Aliases to Defraud Clients
SEC Settles With Broker Who Used Aliases to Defraud Clients
Mar 1, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-building-closeup-Mark-Wilson-1.jpg
Regulation & Compliance
RIA CapWealth Takes on SEC Over 12b-1 Disclosures
RIA CapWealth Takes on SEC Over 12b-1 Disclosures
Feb 26, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
California Attorney General Xavier Becerra
Regulation & Compliance
California AG Charges Live Chat Service 'AwesomeCalls' for Unregistered Investment Advice
California AG Charges Live Chat Service 'AwesomeCalls' for Unregistered Investment Advice
Feb 25, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA
Regulation & Compliance
FINRA Firms Want Inspectors to Work Remotely, Permanently
FINRA Firms Want Inspectors to Work Remotely, Permanently
Feb 25, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
zoom-join-meeting-screen.jpg
Regulation & Compliance
Regulatory Risks Escalate When Firms Fail to Record Videoconferences
Regulatory Risks Escalate When Firms Fail to Record Videoconferences
Feb 25, 2021
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1 Min Read
byRobert Cruz
US SEC building in Washington, D.C., 2008
Regulation & Compliance
SEC Bars Advisor Imprisoned for $13 Million Ponzi Scheme
SEC Bars Advisor Imprisoned for $13 Million Ponzi Scheme
Feb 24, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Court Sentences Texas Man to Five Years for Ponzi-Like Scheme
Regulation & Compliance
Court Sentences Texas Man to Five Years for Ponzi-Like Scheme
Court Sentences Texas Man to Five Years for Ponzi-Like Scheme
Feb 23, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-seal-new.jpg
Regulation & Compliance
SEC Obtains Final Judgment Against Advisor Who Defrauded Investors of Millions
SEC Obtains Final Judgment Against Advisor Who Defrauded Investors of Millions
Feb 22, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
finra
Regulation & Compliance
FINRA Bars Former Wells Fargo Broker for Private Securities Transactions
FINRA Bars Former Wells Fargo Broker for Private Securities Transactions
Feb 22, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA Suspends Broker Who Allowed Barred Father to Work With Clients
Regulation & Compliance
FINRA Suspends Broker Who Allowed Barred Father to Work With Clients
FINRA Suspends Broker Who Allowed Barred Father to Work With Clients
Feb 19, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Tom-Sporkin.jpg
Regulation & Compliance
New CFP Board Enforcement Chief Brings a Separation of Functions
New CFP Board Enforcement Chief Brings a Separation of Functions
Feb 18, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
gamestop-sign-nyc.jpg
Regulation & Compliance
‘Roaring Kitty’ Sued for Securities Fraud Over GameStop Rise
‘Roaring Kitty’ Sued for Securities Fraud Over GameStop Rise
Feb 17, 2021
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1 Min Read
byChristian Berthelsen
DOL Fiduciary Rule’s Impact Will Be Felt by Advisors, Brokers
Regulation & Compliance
DOL Fiduciary Rule’s Impact Will Be Felt by Advisors, Brokers
DOL Fiduciary Rule’s Impact Will Be Felt by Advisors, Brokers
Feb 16, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
U.S. Department of Labor
Regulation & Compliance
Trump's DOL Fiduciary Rule Will Go Into Effect As Scheduled
Trump's DOL Fiduciary Rule Will Go Into Effect As Scheduled
Feb 12, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
Department of Justice seal
Regulation & Compliance
Former RIA Pleads Guilty in $100M Fraud Scheme
Former RIA Pleads Guilty in $100M Fraud Scheme
Feb 10, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
handcuffs money
Regulation & Compliance
Former Minnesota Advisor Charged With Fleecing Clients Out of $2.2M
Former Minnesota Advisor Charged With Fleecing Clients Out of $2.2M
Feb 9, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-seal-new.jpg
Regulation & Compliance
SEC Charges California Unregistered Brokers With Fraud
SEC Charges California Unregistered Brokers With Fraud
Feb 8, 2021
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1 Min Read
byPatrick Donachie, Senior Reporter
lev-parnas.jpg
Regulation & Compliance
Giuliani Associates Lev Parnas and David Correia Sued by SEC
Giuliani Associates Lev Parnas and David Correia Sued by SEC
Feb 5, 2021
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1 Min Read
byBob Van Voris and Christian Berthelsen

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