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Registered Rep.
October 6, 2004
Leitch & Gaffen |
Raymond James Fights the SEC's Fraud Charges The SEC brought fraud charges against the Tampa-based firm, saying the firm had looked the other way when a former broker scammed investors of approximately $44.5 million between 1999 and 2000.   |
Registered Rep.
September 23, 2008 |
SEC Charges Miami Broker Gary Gross Gary Gross has been charged with fraud by the SEC for selling his elderly clients unsuitable investments. |
Registered Rep.
July 27, 2010
Halah Touryalai |
Overtime Suits Resurface, This Time for Independent Reps On July 22, Mark Thierman, a labor lawyer in Reno, Nevada, filed a complaint against LPL Financial for violating New York State overtime laws by not paying its reps overtime wages. |
Registered Rep.
December 1, 2004
Karen F. Donovan |
Raymond James Fights a Lonely Battle with the SEC After nearly two years of negotiations, the agency charged Raymond James Financial Services with civil fraud in connection with the conduct of a rogue broker who worked off-site as an independent rep in Cranston, R.I. |
Registered Rep.
September 21, 2005
Susan Konig |
Rogue Broker's Management Culpable Raymond James Financial Services (RJFS) was ordered to pay a $6.9 million fine to the SEC for failing to supervise Dennis Herula, a former broker who is currently in prison after pleading guilty to federal charges of fraud. |
Registered Rep.
November 1, 2006
John Churchill |
Blotter SEC Busts Another Ponzi... Broker Bends for Hedgies... NASD Says Firm Ignored Red Flags... |
Registered Rep.
June 7, 2010
Halah Touryalai |
LPL To Go Public. At What Valuation? It's the moment LPL Financial (and much of the broker/dealer world) has been anticipating for at least the last five years. The independent channel's largest b/d filed forms S-1 with the SEC on Friday, signifying its intent to float shares to the public. |
Investment Advisor
June 2009 |
B/D News & Products Important news for broker/dealers: The Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its BrokerCheck service... Fraud charges against several entities and individuals who operate the Reserve Primary Fund... more... |
Registered Rep.
December 16, 2005
Halah Touryalai |
Former Pru Broker Penalized for Abusive Trading Three years after the SEC charged five Boston-based Prudential Securities brokers for abusive mutual fund trading, one of the accused is being temporarily barred from association with any broker/dealer or investment advisor. |
Registered Rep.
March 14, 2012
Diana Britton |
SEC Goes After Venture Capital B/D Over Sale of Facebook Shares The Securities and Exchange Commission has filed charges against New York-based venture capital broker/dealer Felix Investments and the firm's founder Frank Mazzola. |
Registered Rep.
June 24, 2009
John Churchill |
SEC Says Time To Tighten Rules On Money Market Funds After one of the oldest and largest money market funds suffered such severe redemptions that the net asset value of its shares fell below $1, the SEC is proposing structural and regulatory changes for money markets |
Registered Rep.
May 10, 2007
Kristen French |
SEC Impostors on the Loose The SEC issued an alert to securities industry firms, warning them to keep an eye out for impostors -- individuals pretending to work for the SEC. |
Registered Rep.
January 15, 2009 |
Schapiro's Replies: Blame The SEC--Not FINRA--For Madoff It wasn't her job, man. |
Registered Rep.
September 11, 2008
Halah Touryalai |
LPL Fined For Privacy Failures The firm was slapped with a $275,000 penalty issued by the SEC for failing to safeguard its customers' personal information. |
Registered Rep.
September 2, 2009
John Churchill |
SEC Blew It With Madoff, Inspector General Says SEC Chairman Mary Schapiro announced the release today of the Office of the Inspector General's report on the Bernard Madoff fraud. It says, in short, the SEC screwed up in every way possible. |
Registered Rep.
June 1, 2005
Karen Donovan |
No More Slap on the Wrist Regulators are getting tough and creative on registered reps because they suspect that fines aren't a strong enough deterrent to stop illegal behavior. |
The Motley Fool
February 11, 2004
Selena Maranjian |
Avoid "Brokerage Identity Theft" Identity theft doesn't just happen to individuals. Even brokerages can be victims. Be wary when someone contacts you claiming to be a brokerage, even a well-known one. |
Registered Rep.
September 3, 2008
John Churchill |
Brokers Charged In Fraudulently Selling $1bn Of ARS To Retail Clients In the first case of its kind, the SEC announced today that it has charged two individual financial advisors with fraud related to the sale of more than $1 billion in auction-rate securities. |
Investment Advisor
March 2009
Melanie Waddell |
When It Pays to Fight City Hall An annual analysis of litigated disciplinary proceedings brought by the SEC and FINRA against broker/dealers and registered representatives shows that it sometimes pays for B/Ds and reps to litigate against the regulators. |
Registered Rep.
March 1, 2008 |
Blotter SEC filed a civil action against five unregistered Florida brokers who were operating a pump-and-dump scheme... Third largest hedge fund fraud ever... |
Registered Rep.
November 5, 2003
Churchill & Gaffen |
Pru Market-Timing Charges Widen The investigation into mutual fund trading abuses is widening, with the release of a complaint filed by the Massachusetts Securities Division against brokers who formerly worked in Prudential Securities' hub office in Boston. |
Registered Rep.
February 9, 2007
Kevin Burke |
SEC Big Says Waiver Tactics Can Backfire An SEC commissioner today said that asking broker/dealers and investment advisory firms to waive their legal right to attorney-client privilege in order to speed up the pace of enforcement investigations is shortsighted. |
Registered Rep.
May 28, 2009
Kristen French |
Former Brookstreet Brokers Hit With Fraud Charges Almost two years after their firm imploded, 16 brokers from Brookstreet Securities may have come to justice. |
The Motley Fool
October 8, 2010
Travis Hoium |
Fuqi International Shares Popped: What You Need to Know I am wary of any company being investigated by the SEC, so watch that you don't get caught in an avalanche if it finds something. |
Registered Rep.
July 1, 2006
John Churchill |
Blotter SEC Tackles Wachovia Insider... Supervisory Meltdown... Market Timing Geeks... |
BusinessWeek
October 21, 2009
Farzad & Francis |
The SEC's Tough New Offensive on Insider Trading It's using wiretaps, informants, and high-tech software, as well as teaming with key federal prosecutors, to nab wrongdoers fast. |
Investment Advisor
November 2009
Melanie Waddell |
SEC Sets Out Strategic Plan The Securities and Exchange Commission publishes its Draft Strategic Plan outlining the Commission's strategic goals for 2010 through 2015. |
Investment Advisor
September 2009 |
Broker/Dealer News Actions by the SEC and FINRA |
Registered Rep.
September 21, 2007
Halah Touryalai |
Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers. |
InternetNews
September 21, 2007
David Needle |
Steve Jobs to Testify in Backdating Case Apple CEO Steve Jobs has reportedly been subpoenaed by the Securities and Exchange Commission to testify in a stock-options back-dating case against Apple's former general counsel, Nancy Heinen. |
Registered Rep.
March 4, 2009
John Churchill |
SEC Sued by Stanford Group Advisors for Violation of Constitutional Rights The SEC has frozen client accounts of Stanford Financial Group advisors, and has ordered them not to communicate with their clients. The advisors are fighting back. |
Investment Advisor
August 2010
Melanie Waddell |
Advice to the SEC When it comes to the fiduciary standard, Capital Analysts President and CEO Matt Lynch says advisors "want to be sure the SEC seeks and gathers input from the industry as to how to implement these important changes." |
Registered Rep.
May 29, 2008
John Churchill |
Clearing Firm Faces SEC Charges, Small Firm Movement Tarnished Richard Goble, a leading critic of FINRA and vociferous supporter of gentler regulation for small brokerage firms, has been hit with serious charges of fraud from the SEC. |
On Wall Street
November 1, 2009 |
Marcia Kramer Mayer Marcia Kramer Mayer of NERA Consulting speaks about how the SEC should look to the example set by the IRS, which uses computerized searches to identify investment fraud problems. |
Registered Rep.
May 8, 2008 |
UBS Needs A Lift Ticket UBS is facing serious scrutiny by the Securities and Exchange Commission and the Department of Justice to determine whether or not the bank aided clients in committing tax evasion from 2000 to 2007. |
Investment Advisor
February 2009
Melanie Waddell |
Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
Registered Rep.
April 28, 2010
Bill Singer |
The SEC's Own Report Says that It Missed Tips and Clues in a Giant Ponzi Some have alleged improper political motives in the Stanford case, which the SEC has denied. |
InternetNews
February 22, 2007
Clint Boulton |
Veritas Dinged For $30M Veritas Software will fork over cash to investors harmed in fraudulent financial schemes. |
InternetNews
April 24, 2007
Michael Hickins |
SEC Charges Former Apple Attorney With Fraud SEC levies fraud charges at Apple's former general counsel and settles with its former CFO in connection with a stock options backdating scandal. |
Registered Rep.
January 8, 2003
Ross Tucker |
SIA Urges No Change to Branch Office Definition The SIA has expressed serious concerns over proposed changes by the NYSE and SEC that would alter the qualifications by which a broker/dealer office is considered a branch office. |
Registered Rep.
November 20, 2003
John Churchill |
LPL Financial Awaits Regulatory Enforcement on Breakpoints Enforcement actions are pending as a consequence of certain clients not receiving appropriate commission discounts, otherwise known as "breakpoints," on Class A mutual fund purchases. LPL is one of roughly 2,000 firms conducting internal examinations into breakpoints. |
Registered Rep.
June 3, 2009
David Geracioti |
ARS Games -- SEC Blames Firms, Settles with BAC, RBC and DEUTSCHE When the auction rate securities market froze up in February 2008, angry clients blamed their financial advisors. |
Financial Advisor
January 2004
Jay Gould |
Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react? |
BusinessWeek
May 20, 2010
Jesse Westbrook & David Scheer |
How Big a Hit Will Goldman Take? Congress and the public expect the SEC to extract a big fine |
BusinessWeek
June 18, 2007
Dawn Kopecki |
Backdating: Why Penalties Are Puny The SEC considers options violations less serious than other kinds of financial fraud. |
Registered Rep.
February 25, 2009
John Churchill |
More Multi-Million Dollar Ponzis and Thousand-Dollar Teddy Bears! DOJ, SEC Bust and Freeze Assets of "Commodity Traders" Three new recent charges made by the SEC regarding alleged Ponzi schemes. |
Investment Advisor
May 2009 |
B/D News & Products News for broker/dealers: U.S. House of Representatives approved legislation that would tie pay to performance at companies that have received TARP funds... Securities and Exchange Commission charged the auditors of Bernard Madoff's broker/dealer firm with securities fraud... |
BusinessWeek
March 21, 2005
Amy Borrus |
Wall Street's Dirty Rotten Little Scoundrels The SEC has a new plan to turn up the heat on small-time Wall Street fraudsters. |
Registered Rep.
August 1, 2006
Halah Touryalai |
Blotter Wachovia Self-Dealing Suit... Merrill Fined for Firing Rep... LPL: On the Prowl?... |
