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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,...

House Passes Bill to Ban Forced Arbitration

The U.S. House of Representatives passed the Forced Arbitration Injustice Repeal Act (H.R. 1423) on Friday, which prohibits pre-dispute arbitration agreements for consumer, employment,...

Stifel to Buy Missouri-Based Broker-Dealer

Stifel Financial Corp. (NYSE: SF) has agreed to buy certain assets of George K. Baum & Company, a broker-dealer that focuses on municipal securities....

SEC Charges Utah Man with Defrauding Investors in a Real Estate...

The Securities and Exchange Commission has charged Landon M. Smith of Salt Lake County, Utah with operating a real estate offering fraud and Ponzi...

SEC Charges Two Oil and Gas Execs with Defrauding Retail Investors

The Securities and Exchange Commission has charged Pennsylvania resident William Milles and Canadian resident Donald Lutzko with running an oil and gas offering fraud...

AR Capital and Schorsch to Settle SEC Charges for $60 Million

The Securities and Exchange Commission has charged AR Capital LLC, its founder Nicholas S. Schorsch, and its former CFO Brian Block with wrongfully obtaining...

SEC Charges Unregistered Broker Who Sold Woodbridge and 1 Global Fraudulent...

The Securities and Exchange Commission has charged Henry J. "Trae" Wieniewitz, III and his Knoxville, Tennessee-based company, Wieniewitz Financial LLC, for unlawfully offering and...

SEC and NASAA Issue Summary of Securities Laws Relating to Opportunity...

The Securities and Exchange Commission and the North American Securities Administrators Association (NASAA) have issued a summary that explains the application of the federal...

Texas Regulators Issue Cease and Desist Against Texas Oilman Promising 70%...

The Texas State Securities Board has entered an emergency cease and desist order to stop the ongoing fundraising efforts of Michael E. Patman, the...

SEC Bars Ponzi Scheme Operator Sentenced to 13 Years in Prison

The U.S. District Court for the Eastern District of Virginia has entered a final judgment against a Virginia investment adviser firm and its owner...