SEC Obtains Final Judgment Against Former RIA Executive for $1 Billion Fraud

April 16, 2024

Merrill Lynch to Pay $15 Million in Restitution to Settle FINRA Charges

June 6, 2022

City National Rochdale to Pay $30 Million to Settle SEC Charges over Undisclosed Conflicts

March 7, 2022

FINRA Fines Advisor Group’s Triad for “Risky” Alternative Mutual Fund Sales

January 4, 2022

Crown Capital Securities to Pay $1.6 Million to Settle SEC Charges

June 28, 2021

Centaurus to Pay $1.3 Million to Settle SEC Charges

June 4, 2021

FINRA Fines Three Broker-Dealers for Selling “Risky” Alternative Mutual Fund

March 31, 2021

Transamerica to Pay $8.8 Million to Settle FINRA Charges

December 30, 2020

Altegris Co-Founder and Continuum Capital to Purchase Altegris from Artivest

September 10, 2020

Massachusetts Fines Broker-Dealer Over Improper Mutual Fund Sales

April 9, 2020

Next Financial to Refund $500,000 to Customers over Mutual Fund Sales

February 18, 2020

FS Investments to Buy $1.8 Billion Investment Boutique

December 18, 2019

Cetera Names New Chief Executive Officer

December 4, 2019

SEC Adds Another Cetera Firm to Fraud Complaint

October 16, 2019

SEC Orders 17 Advisory Firms to Pay $10 Million to Investors over Mutual Fund Sales

October 1, 2019

SEC Charges Cetera Advisors with Defrauding Retail Advisory Clients

August 30, 2019

SEC Charges Commonwealth with Failing to Disclose Conflicts on Revenue Sharing

August 2, 2019

Voya Escapes FINRA Fine for Self-Reporting Mutual Fund Share Overcharges

April 26, 2019

SEC Settles with 79 Investment Firms for Mutual Fund Sales, Firms Returning $125 Million to Investors

March 12, 2019

Transamerica Entities to Pay $97 Million to Investors Over QI Model Errors

August 29, 2018