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SEC Enforcement Attorney Sworn in as Newest Commissioner

Allison Herren Lee was sworn into office on July 8 as a commissioner of the Securities and Exchange Commission. She was nominated by President...

FINRA Bars Former Cetera Advisors Rep

Financial Industry Regulatory Authority has barred former Cetera Advisors representative George C. Merhoff Jr. for failing to provide documents and information to the regulators...

Massachusetts Regulators Charge Company in $10 Million Ponzi Scheme That Targeted...

The Massachusetts Securities Division has charged a Rhode Island man with operating a Ponzi scheme which defrauded more than 40 investors out of more...

FINRA Bars Former LPL Rep

Financial Industry Regulatory Authority has barred former LPL Financial representative Jason Nelson for refusing to provide testimony to regulators in connection with his termination...

Massachusetts Regulators Halt Million Dollar Real Estate Investment Scheme

The Massachusetts Securities Division has charged an Illinois man for selling unregistered securities to Massachusetts investors totaling nearly $1 million for various real estate...

SEC Halts Ponzi Scheme Run from UGA Fraternity House

The Securities and Exchange Commission has charged a recent college graduate with orchestrating a Ponzi scheme that targeted college students and young investors. The...

FINRA Bars Former Commonwealth Broker for Refusing to Provide Documents to...

The Financial Industry Regulatory Authority has barred Benjamin Frank Bourgeois, a former Commonwealth Financial broker, for refusing to produce documents and information requested by...

FINRA Bars Former LPL Broker for Refusing to Testify at Hearing

The Financial Industry Regulatory Authority has barred Philip Nalesnik, a former LPL Financial rep, for refusing to provide on-the-record testimony to the regulators into...

SEC Seeks Emergency Relief to Halt New York Developer’s Real Estate...

The Securities and Exchange Commission has filed an emergency action charging Robert C. Morgan, a New York residential and commercial real estate developer, and...

FINRA Fines Woodbury $225,000 Over Variable Annuity Supervision Issues

The Financial Industry Regulatory Authority has fined Woodbury Financial Services, an independent broker-dealer in the Advisor Group network, for not having a system in...