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Regulation & Compliance

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Regulation & Compliance
FINRA Charges Former Rep for Toxic Private Placements, Falsifying Client InfoFINRA Charges Former Rep for Toxic Private Placements, Falsifying Client Info

When working for Coastal Equities, Luke Johnson pushed clients to invest in illiquid alts, including a number of GPB Holdings private placements.

byPatrick Donachie, Senior Reporter
Jul 13, 2023
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1 Min Read
Allianz building
Regulation & Compliance
Allianz US Unit Ordered to Pay $6B in Securities Fraud CaseAllianz US Unit Ordered to Pay $6B in Securities Fraud Case
byBob Van Voris
Jul 13, 2023
1 Min Read
Raymond James office
Regulation & Compliance
Raymond James to Pay $12.5M for 'Unreasonable' Commission ChargesRaymond James to Pay $12.5M for 'Unreasonable' Commission Charges
byPatrick Donachie
Jul 11, 2023
1 Min Read
bofa-merrill-lynch-6.jpg
Regulation & Compliance
BofA to Pay $250M Over Extra Fees, Unauthorized CardsBofA to Pay $250M Over Extra Fees, Unauthorized Cards
byPaige Smith and Katherine Doherty
Jul 11, 2023
1 Min Read
FINRA-HQ.jpeg
Regulation & Compliance
FINRA Bars Illinois Broker for Not Disclosing Private Securities Transactions to B/DFINRA Bars Illinois Broker for Not Disclosing Private Securities Transactions to B/D
byPatrick Donachie
Jul 11, 2023
1 Min Read
FINRA Expels New Jersey B/D for Churning Accounts of Gold Star Families
Regulation & Compliance
FINRA Expels New Jersey B/D for Churning Accounts of Gold Star FamiliesFINRA Expels New Jersey B/D for Churning Accounts of Gold Star Families
byDiana Britton
Jul 7, 2023
1 Min Read
SEC building
Regulation & Compliance
SEC Obtains Final Judgment Against Former Broker Convicted of Fraud
SEC Obtains Final Judgment Against Former Broker Convicted of Fraud
Jul 3, 2023
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1 Min Read
byDiana Britton, Managing Editor
SEC building
Regulation & Compliance
SEC Report on Forced Arbitration Clauses Finds RIA Clients at Disadvantage
SEC Report on Forced Arbitration Clauses Finds RIA Clients at Disadvantage
Jun 29, 2023
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1 Min Read
byAli Hibbs, Reporter
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Regulation & Compliance
Influential House Republicans Float Regulatory Framework for Crypto
Influential House Republicans Float Regulatory Framework for Crypto
Jun 28, 2023
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1 Min Read
bySandra G Swirski, Founder
pimco-hq.jpg
Regulation & Compliance
Pimco to Pay $9M to Settle SEC Fee and Disclosure Probes
Pimco to Pay $9M to Settle SEC Fee and Disclosure Probes
Jun 16, 2023
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1 Min Read
byAustin Weinstein
bitcoin bubble
Regulation & Compliance
Alt-Coin-Delete: Wall Street Moves In
Alt-Coin-Delete: Wall Street Moves In
Jun 14, 2023
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1 Min Read
byAndy Mukherjee
SEC headquarters in Washington DC
Regulation & Compliance
SEC Reiterates Warnings on Marketing Rule
SEC Reiterates Warnings on Marketing Rule
Jun 9, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
businessman handcuffs money
Regulation & Compliance
Former Morgan Stanley VP Pleads Guilty To Stealing From His Mother's Account
Former Morgan Stanley VP Pleads Guilty To Stealing From His Mother's Account
Jun 8, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
coinbase.jpg
Regulation & Compliance
US Crypto Crackdown Reaches Fever Pitch as SEC Sues Coinbase
US Crypto Crackdown Reaches Fever Pitch as SEC Sues Coinbase
Jun 6, 2023
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1 Min Read
byAustin Weinstein, Muyao Shen and Lydia Beyoud
Binance CEO Changpeng Zhao
Regulation & Compliance
SEC Sues Binance and CEO Zhao for Breaking US Securities Rules
SEC Sues Binance and CEO Zhao for Breaking US Securities Rules
Jun 5, 2023
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1 Min Read
byAustin Weinstein, Lydia Beyoud and Allyson Versprille
marijuana-leaf-dollars.jpg
Regulation & Compliance
FINRA Fines NY-Based B/D for Missing Rep’s Outside Work With Medical Cannabis Company
FINRA Fines NY-Based B/D for Missing Rep’s Outside Work With Medical Cannabis Company
Jun 2, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
digital-assets-edge.jpg
Regulation & Compliance
Is the US Losing the Race in Crypto Innovation?
Is the US Losing the Race in Crypto Innovation?
May 21, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
FINRA
Regulation & Compliance
FINRA: 'Persistent' Noncompliance on Crypto Communications
FINRA: 'Persistent' Noncompliance on Crypto Communications
May 20, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
gawal-chris-kelly-finra.jpg
Regulation & Compliance
AI-Generated Recommendations Can Still Fall Under Reg BI, FINRA Exec Warns
AI-Generated Recommendations Can Still Fall Under Reg BI, FINRA Exec Warns
May 18, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
Wells Fargo
Regulation & Compliance
Wells Fargo to Pay $1B in Class-Action Lawsuit
Wells Fargo to Pay $1B in Class-Action Lawsuit
May 16, 2023
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1 Min Read
byRobert Burnson
SEC Fines HSBC, Scotia Capital $22.5M Over WhatsApp, Messaging Violations
Regulation & Compliance
SEC Fines HSBC, Scotia Capital $22.5M Over WhatsApp, Messaging Violations
SEC Fines HSBC, Scotia Capital $22.5M Over WhatsApp, Messaging Violations
May 11, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
Centaurus Financial
Regulation & Compliance
FINRA Fines Centaurus, Ex-Broker for Recommending More Costly UITs, REITs to Clients
FINRA Fines Centaurus, Ex-Broker for Recommending More Costly UITs, REITs to Clients
May 8, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Seal
Regulation & Compliance
SEC Charges Fargo-Based Firm, Advisor With Holding Leveraged ETFs Too Long
SEC Charges Fargo-Based Firm, Advisor With Holding Leveraged ETFs Too Long
May 5, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC Chair Gary Gensler
Regulation & Compliance
Big Hedge Funds Face New 72-Hour Deadline to Report Losses
Big Hedge Funds Face New 72-Hour Deadline to Report Losses
May 3, 2023
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1 Min Read
byLydia Beyoud
prison-cell.jpg
Regulation & Compliance
Former Wells Fargo Advisor Sentenced for Identity Theft, Stealing Client Funds
Former Wells Fargo Advisor Sentenced for Identity Theft, Stealing Client Funds
May 2, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
digital hacker crypto fraud
Regulation & Compliance
'Pig-Butchering' Scams a Top Investor Threat, According to State Regulators
'Pig-Butchering' Scams a Top Investor Threat, According to State Regulators
Apr 20, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
sec-flag-seal.jpg
Regulation & Compliance
New Reg BI Guidance Focuses on Care Obligations At Heart of Recent Enforcement
New Reg BI Guidance Focuses on Care Obligations At Heart of Recent Enforcement
Apr 20, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
Betterment office
Regulation & Compliance
SEC Fines Betterment $9M for Not Revealing Tax-Loss Harvesting Errors
SEC Fines Betterment $9M for Not Revealing Tax-Loss Harvesting Errors
Apr 18, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
U.S. Rep. Andy Barr
Regulation & Compliance
Kentucky Congressman Seeks to Increase SEC Registration Threshold for Private Fund Advisors
Kentucky Congressman Seeks to Increase SEC Registration Threshold for Private Fund Advisors
Apr 18, 2023
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1 Min Read
byAli Hibbs, Reporter
us map pins money
Regulation & Compliance
Washington, Wyoming Finalize Best Interest Annuity Standards
Washington, Wyoming Finalize Best Interest Annuity Standards
Apr 17, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
SEC building
Regulation & Compliance
DOJ Antitrust Unit Urges Caution in SEC Stock Market Revamp
DOJ Antitrust Unit Urges Caution in SEC Stock Market Revamp
Apr 14, 2023
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1 Min Read
byLydia Beyoud and Leah Nylen
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Regulation & Compliance
Feds Charge Fugitive Advisor for $10M Investment Fraud
Feds Charge Fugitive Advisor for $10M Investment Fraud
Apr 13, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
Finra
Regulation & Compliance
FINRA Panel: Morgan Stanley to Pay Woman Removed as Client's Beneficiary
FINRA Panel: Morgan Stanley to Pay Woman Removed as Client's Beneficiary
Apr 12, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
robinhood-trading-app.jpg
Regulation & Compliance
Robinhood To Pay $10M Over 'Significant Operational Issues'
Robinhood To Pay $10M Over 'Significant Operational Issues'
Apr 6, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
Jail
Regulation & Compliance
Former Oregon Broker Sentenced to 4 Years in Prison for Tax Evasion
Former Oregon Broker Sentenced to 4 Years in Prison for Tax Evasion
Apr 5, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter

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