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Massachusetts Fines Wells Fargo $450,000 over Unregistered Agents and Supervisors

The Massachusetts Securities Division has fined Wells Fargo $450,000 for failing to ensure that its agents and supervisors were appropriately registered in Massachusetts. Wells Fargo...

Massachusetts Securities Division Fines LPL $1.1 Million over Unregistered Agents and...

The Massachusetts Securities Division has fined LPL Financial $1.1 million for failing to properly register agents in Massachusetts and timely file certain reportable events....

Massachusetts Securities Division Launches Sweep of Marijuana-Related Offerings

The Massachusetts Securities Division plans will begin a sweep of the growing number of Massachusetts-based business entities that are raising money from marijuana-related investments. The...

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...

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...

Massachusetts Charges Adviser Over Failed Medical Marijuana Scheme

The Massachusetts Securities Division has charged Frederick V. McDonald Jr., a Massachusetts investment adviser representative, for his alleged role in a failed medical marijuana...

Massachusetts Charges Two Advisers for Making Unsuitable Energy Investments

The Massachusetts Securities Division has charged two investment adviser representatives and their firm for allegedly overconcentrating more than 250 client accounts in what it...

Massachusetts Charges Former Commonwealth Adviser with Allegedly Stealing from Retiree

The Massachusetts Securities Division has charged a former investment adviser who allegedly withdrew nearly $100,000 from a client’s accounts over a 13-year period. Bruce Colin...

Massachusetts Fines United Planners and its Former Broker Over Alleged $1...

The Massachusetts Securities Division has fined United Planners Financial Services and one of its former brokers, Thomas T. Riquier, who allegedly orchestrated a complex...

Massachusetts Regulators Charge Royal Alliance and Rep Over Unsuitable Annuity Exchange

The Massachusetts Securities Division has charged broker-dealer Royal Alliance Associates Inc. with failing to supervise one of its brokers who allegedly made unsuitable investment...