Insights
February 24, 2017
New Administrations bring new rules – or, in this case, they do away with the old ones. One of the regulations on the chopping block is the so-called “fiduciary rule” issued last year by the Labor Dep...
February 8, 2017
One of the most common claims our attorneys bring on behalf of clients is failure to supervise. Brokerages are responsible for the majority of their employees’ actions. When a broker or advisor is neg...
February 2, 2017
The SEC announced administrative proceedings against John D. Telfer, who worked for Meyers Associates, L.P. as the firm’s former anti-money laundering officer. The commission alleges that the fi...
February 1, 2017
Robert Cook, CEO of FINRA, embarked on a “listening tour” late last year. He spent months meeting with regulators, policymakers, investors and brokers (among others) to discover their primary concerns...
February 1, 2017
The SEC charged Dwayne Edwards with fraud and obtained an emergency asset freeze against the South Carolina businessman. The SEC alleges that he funneled money he obtained from investors who believed ...
January 31, 2017
Citigroup will pay $18.3 million to settle charges made by the SEC claiming that it overcharged its investment advisory clients. According to the SEC, Citigroup overbilled about 60,000 advisory client...
January 26, 2017
Michael J. Breton, a Massachusetts investment adviser who the SEC accused of securities fraud, has agreed to be banned from the industry after the SEC discovered he was operating an illicit cherry-pic...
January 24, 2017
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January 19, 2017
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January 16, 2017
Richard Gearhart of Lowell, Indiana and George McKown of Indianapolis, Indiana have been indicted on fraud charges after prosecutors claim they sold securities to investors despite not being registere...
January 13, 2017
The SEC announced today that Morgan Stanley agreed to pay a $13 million fine to resolve allegations that it overbilled investment advisory clients due to coding and other billing system errors. Morgan...
January 11, 2017
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