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Regulation & Compliance

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Regulation & Compliance
FINRA Suspends Rep 1 Year for Not Disclosing Celeb-Backed Crypto AssetFINRA Suspends Rep 1 Year for Not Disclosing Celeb-Backed Crypto Asset

Justin Maher agreed to a 12-month suspension for not informing Northwestern Mutual of his involvement in co-founding a crypto asset eventually promoted by Kim Kardashian, Paul Pierce, Floyd Mayweather Jr. and other celebrities.

byPatrick Donachie, Senior Reporter
Oct 3, 2023
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1 Min Read
William Galvin
Regulation & Compliance
Fidelity Fined For "Rubber-Stamping" Options Trading ApplicationsFidelity Fined For "Rubber-Stamping" Options Trading Applications
byPatrick Donachie
Oct 2, 2023
1 Min Read
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Regulation & Compliance
More Firms to Pay $79M To Settle SEC Off-Channel Communication ChargesMore Firms to Pay $79M To Settle SEC Off-Channel Communication Charges
byPatrick Donachie
Sep 29, 2023
1 Min Read
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Regulation & Compliance
SEC Charges SW Financial Reps With Violating Reg BISEC Charges SW Financial Reps With Violating Reg BI
byPatrick Donachie
Sep 29, 2023
1 Min Read
Former Western International Rep Loses FINRA Appeal Over Non-Traded REIT Recommendations
Regulation & Compliance
Former Western International Rep Loses FINRA Appeal Over Non-Traded REIT RecommendationsFormer Western International Rep Loses FINRA Appeal Over Non-Traded REIT Recommendations
byPatrick Donachie
Sep 28, 2023
1 Min Read
SEC building
Regulation & Compliance
SEC Charges AssetMark for Failing to Disclose Cash Sweep ConflictsSEC Charges AssetMark for Failing to Disclose Cash Sweep Conflicts
byDiana Britton
Sep 26, 2023
1 Min Read
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Regulation & Compliance
SEC: New York Advisor Touted 'Trillions' in AUM
SEC: New York Advisor Touted 'Trillions' in AUM
Sep 25, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
US SEC building in Washington, D.C., 2008
Regulation & Compliance
Mass. RIA to Pay $1M to Settle SEC Marketing Noncompliance Charges
Mass. RIA to Pay $1M to Settle SEC Marketing Noncompliance Charges
Sep 25, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
SEC Fines Goldman Sachs, Citadel Over Trading Errors
SEC Fines Goldman Sachs, Citadel Over Trading Errors
Sep 22, 2023
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1 Min Read
byAustin Weinstein
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Regulation & Compliance
Former Deutsche Bank Broker Pleads Guilty To Crypto-Related Fraud
Former Deutsche Bank Broker Pleads Guilty To Crypto-Related Fraud
Sep 20, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
William Galvin
Regulation & Compliance
Robinhood's Loss Could Embolden States Still on the Fiduciary Fence
Robinhood's Loss Could Embolden States Still on the Fiduciary Fence
Sep 19, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
IAA Asks the SEC to Redefine 'Small Advisors'
IAA Asks the SEC to Redefine 'Small Advisors'
Sep 15, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
US SEC building in Washington, D.C., 2008
Regulation & Compliance
SEC Hits 9 More Firms With SEC Ad Rule Violations
SEC Hits 9 More Firms With SEC Ad Rule Violations
Sep 12, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
NASAA: Non-Traded REIT Recommendations Don't Meet Reg BI Requirements
NASAA: Non-Traded REIT Recommendations Don't Meet Reg BI Requirements
Sep 6, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
Gary Gensler
Regulation & Compliance
Crypto’s Enemy Gensler Put on Defensive by Grayscale Ruling
Crypto’s Enemy Gensler Put on Defensive by Grayscale Ruling
Aug 30, 2023
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1 Min Read
byAllyson Versprille (Bloomberg)
Cryptocurrency’s Estimated Draw on World Resources Could Power Bangladesh
Regulation & Compliance
Court Paves Way for Spot Bitcoin ETF in Grayscale Ruling
Court Paves Way for Spot Bitcoin ETF in Grayscale Ruling
Aug 29, 2023
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1 Min Read
bySabrina Willmer, Allyson Versprille and Yueqi Yang (Bloomberg)
Bitcoin ETF Deadlines Loom Again for SEC Ahead of Labor Day
Regulation & Compliance
Bitcoin ETF Deadlines Loom Again for SEC Ahead of Labor Day
Bitcoin ETF Deadlines Loom Again for SEC Ahead of Labor Day
Aug 28, 2023
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1 Min Read
byVildana Hajric (Bloomberg)
Wells Fargo Overcharged Clients $27 Million in Fees, SEC Alleges
Regulation & Compliance
Wells Fargo Overcharged Clients $27 Million in Fees, SEC Alleges
Wells Fargo Overcharged Clients $27 Million in Fees, SEC Alleges
Aug 25, 2023
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1 Min Read
byAustin Weinstein (Bloomberg)
SEC Headquarters
Regulation & Compliance
SEC Settles First Charges Stemming From Updated Marketing Rule
SEC Settles First Charges Stemming From Updated Marketing Rule
Aug 21, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
FINRA Names New Enforcement Division Leader
FINRA Names New Enforcement Division Leader
Aug 21, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
Jail
Regulation & Compliance
Former Advisor Who Staged Client's Suicide Sentenced To Life in Prison
Former Advisor Who Staged Client's Suicide Sentenced To Life in Prison
Aug 18, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
FINRA Makes It Easier for State Regulators to Oppose Expungement
FINRA Makes It Easier for State Regulators to Oppose Expungement
Aug 14, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA
Regulation & Compliance
Legal Battle Between FINRA and Frequent Foe Could Be a 'Headshot' For the Regulator
Legal Battle Between FINRA and Frequent Foe Could Be a 'Headshot' For the Regulator
Aug 11, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Robinhood Says It’s Facing Investigation From New York State
Robinhood Says It’s Facing Investigation From New York State
Aug 9, 2023
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1 Min Read
byTanaz Meghjani
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Regulation & Compliance
Wall Street to Pay Hundreds of Millions More in WhatsApp Cases
Wall Street to Pay Hundreds of Millions More in WhatsApp Cases
Aug 8, 2023
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1 Min Read
byBen Bain
William Galvin
Regulation & Compliance
Massachusetts Regulator Launches Probe into Brokerages’ Use of AI
Massachusetts Regulator Launches Probe into Brokerages’ Use of AI
Aug 3, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Fears Some B/Ds Fall Short in Anti-Money Laundering Compliance
Regulation & Compliance
SEC Fears Some B/Ds Fall Short in Anti-Money Laundering Compliance
SEC Fears Some B/Ds Fall Short in Anti-Money Laundering Compliance
Aug 2, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
SEC Bars Former Oppenheimer & Co. Advisor As More Victims Sue Firm
SEC Bars Former Oppenheimer & Co. Advisor As More Victims Sue Firm
Aug 1, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC Charges Former Cetera Rep With Stealing $2.4M From Elderly Client
SEC Charges Former Cetera Rep With Stealing $2.4M From Elderly Client
Jul 31, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
DOJ Charges Advisors Who Sued Trump Attorney With $5M Fraud
Regulation & Compliance
DOJ Charges Advisors Who Sued Trump Attorney With $5M Fraud
DOJ Charges Advisors Who Sued Trump Attorney With $5M Fraud
Jul 27, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
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Regulation & Compliance
Wall Street’s Use of AI and Data Analytics Faces New SEC Rules
Wall Street’s Use of AI and Data Analytics Faces New SEC Rules
Jul 26, 2023
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1 Min Read
byLydia Beyoud
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Regulation & Compliance
PIABA Will Look to Congress if SEC Doesn't Act on Forced Arbitration
PIABA Will Look to Congress if SEC Doesn't Act on Forced Arbitration
Jul 25, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
credit suisse
Regulation & Compliance
UBS to Pay $387 Million in Credit Suisse-Linked Archegos Fines
UBS to Pay $387 Million in Credit Suisse-Linked Archegos Fines
Jul 24, 2023
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1 Min Read
byKatanga Johnson
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Regulation & Compliance
Oklahoma Becomes 40th State to Adopt Best Interest Annuity Rules
Oklahoma Becomes 40th State to Adopt Best Interest Annuity Rules
Jul 17, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
Firms Not Warming To Testimonials Despite Ad Rule, IAA Survey Finds
Firms Not Warming To Testimonials Despite Ad Rule, IAA Survey Finds
Jul 14, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter

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