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Massachusetts Charges Private Equity Investment Fund with Ponzi Scheme

The Massachusetts Securities Division has charged two men and their company with violating state securities laws and regulations in Massachusetts. Thomas David Renison, Timothy...

Massachusetts Regulators Open Investigation into Wells Fargo Advisors

Secretary of the Commonwealth William Galvin has opened an investigation into Wells Fargo Advisors over inappropriate referrals of brokerage customers to managed and advisory...

DOL Fiduciary Rule Opponents Urge Appeals Court to “Vacate” the Rule

In response to the recent charges levied against broker-dealer Scottrade Inc. by the Massachusetts Securities Division for alleged fiduciary rule violations, opponents of the...

Galvin Charges Scottrade with Fiduciary Rule Violations

Secretary of the Commonwealth William Galvin has charged broker-dealer Scottrade Inc. with dishonest and unethical activity and failure to supervise. Galvin's office alleges that...