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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...

SEC Bars Former Broker for Concealing Assets in Bankruptcy Case

The Securities and Exchange Commission has barred former broker Stephen Douglas Pizzuti after he pled guilty to concealing assets in a bankruptcy case. At the...

SEC Bars Former LPL Advisor Over Fake African Charity

The Securities and Exchange Commission has barred former LPL Financial broker Dain Stokes, who was terminated by the broker-dealer last August after the New...

FINRA Bars Former LPL Broker for Refusing to Participate in Investigation

The Financial Industry Regulatory Authority has barred a former LPL Financial broker for refusing to provide documents and on-the-record testimony to the regulators following...

New Hampshire Freezes Assets of Former LPL Advisor Over Fake African...

The New Hampshire Bureau of Securities Regulation has recently obtained a preliminary injunction and asset freeze against former LPL Financial adviser Dain F. Stokes,...

SEC Obtains Emergency Asset Freeze and Charges Adviser with $100 Million...

The Securities and Exchange Commission has charged Brenda Smith, a Pennsylvania investment adviser, with operating a $105 million fraud. The SEC also obtained an...

SEC Charges Recidivist Violator with Securities Fraud Following Incarceration for Ponzi...

The Securities and Exchange Commission has charged Antonio Bravata, a recidivist securities law violator and convicted felon, with securities fraud that was conducted while...

SEC Charges Commonwealth with Failing to Disclose Conflicts on Revenue Sharing

The Securities and Exchange Commission has charged Commonwealth Financial Network, a registered investment adviser and broker-dealer that manages approximately $85 billion in client assets,...