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FINRA Bars Ex-Cetera Broker for Stealing Funds to Buy Mutual Fund...

The Financial Industry Regulatory Authority has barred former Cetera Advisors broker, Marianne O'Shee Smith, who was accused of converting $45,100 from three senior customers...

SEC Charges Siblings in $124 Million Crypto Fraud Operation

The Securities and Exchange Commission has charged siblings John and JonAtina (Tina) Barksdale with defrauding thousands of retail investors out of more than $124...

Massachusetts Charges Purshe Kaplan with Failing to Supervise Dually-Registered Agents

The Massachusetts Securities Division has charged broker-dealer Purshe Kaplan Sterling Investments with failing to supervise dually-registered agents who purportedly sold unsuitable investments to Massachusetts...

FINRA Report Highlights Compliance Deficiencies of Regulation Best Interest and Form...

The Financial Industry Regulatory Authority has published its 2022 Examination and Risk Monitoring Program report, outlining the initial findings of its review of the...

FINRA Bars Former Transamerica Broker

The Financial Industry Regulatory Authority has barred former Transamerica broker, Mark Smith, for refusing to appear for on-the-record testimony as requested by the regulator. Smith...

FINRA Orders Multiple Firms to Pay $11.1 Million in Restitution for...

The Financial Industry Regulatory Authority has censured and ordered multiple broker-dealers to pay a total of $11.1 million in restitution to clients for their...

SEC Reports Record-Breaking Year for Whistleblowers, Increase in New Enforcement Actions

The Securities and Exchange Commission filed 434 new enforcement actions in fiscal year 2021, which ended on September 30th, a 7 percent increase over...

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

The Securities and Exchange Commission has ordered Crown Capital Securities LP, a dually registered investment adviser and broker-dealer, to pay nearly $1.6 million in...

Centaurus to Pay $1.3 Million to Settle SEC Charges

The Securities and Exchange Commission has ordered Centaurus Financial Inc., a dually registered investment adviser and broker-dealer, to pay nearly $1.3 million to settle...

SEC Adopts Modernized Marketing Rule for RIAs

The Securities and Exchange Commission has finalized reforms under the Investment Advisers Act to modernize rules that govern investment adviser advertisements and payments to...
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