Insights
November 9, 2015
FINRA issued a new investor alert, called Tools of the Fraud Trade: Phones and Emotions , warning investors not to send money or provide personal information to a massive IRS impersonation scam timed ...
November 6, 2015
MetLife Inc., the biggest life insurer in the country, said that FINRA will seek a “significant fine” from the company’s broker-dealer unit as part of an investigation into potential...
November 5, 2015
FINRA emphasized that the regulatory authority’s first goal is the “blocking and tackling” of enforcing its rules, not collecting massive financial penalties, stated Russell Ryan, FI...
November 2, 2015
Daniel Scott Register of Valencia, California was indicted in Calhoun County, Alabama on charges of defrauding an Alabama investor. Register was arrested on October 6 by the Orange County, California ...
October 30, 2015
Richard Waskom of McKinney, Texas pleaded guilty to one count of Sale of Unregistered Securities before Jefferson County, Alabama Circuit Court Judge Tommy Nail and was given probation for selling unr...
October 29, 2015
In an administrative complaint, Massachusetts charged Fidelity Brokerage Services with dishonest and unethical behavior for letting unregistered investment advisors perform trades on the Fidelity brok...
October 28, 2015
FINRA has ordered five broker-dealers to reimburse clients a sum of $18.4 million for charging them improper fees on mutual funds. Edward Jones will pay $13.5 million, Stifel Nicolaus & Co., $2.9 ...
October 27, 2015
FanDuel and DraftKings, the two major daily fantasy sports websites, have been accused of insider trading, raising questions as to whether the increasingly lucrative daily fantasy sports world should ...
October 26, 2015
Legislators have expressed frustration with how slowly the SEC has moved toward proposing a rule that would raise investment advice standards while the Department of Labor speeds along. In an appearan...
October 22, 2015
The SEC focused on a number of new kinds of errant financial behavior in 2015 as the agency filed a record number of enforcement cases and fines against both companies and individuals. This year, the ...
October 21, 2015
A federal jury on Monday convicted a Rockwall, Texas man of securities fraud arising from an investment scheme he ran, according to U.S. Attorney John Parker of the Northern District of Texas. Mark Le...
October 20, 2015
FINRA ordered twelve firms to pay restitution over $4 million and fines over $2.6 million for failing to apply sales charge discounts to customers’ purchases of Unit Investment Trusts (“UI...
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