Hedge Fund Fined for Taking Investor Money to Support Other Funds: Enforcement
And FINRA fined Wells Fargo Securities $3.25 million for failing to report all of its reportable conventional options positions.
Ex-Con, Buddies Duped Investors in $15M Oil Drilling Scheme, SEC Says
The phony oil drilling investment scheme promised returns as high as 55%.
FINRA to focus on senior suitability annuity sales
FINRA may be issuing a report on firms' practices on product-specific suitability guidelines for senior investors.
Since 2008, the financial industry has changed the way it does business. Can the SEC’s Mary Jo White control it?
FINRA finds violations in broker's YouTube video
FINRA suspended the registered representative in all capacities for 20 business days and fined him $10,000.
FINRA fines ING firms $1.2M for poor email practices
The FINRA enforcement alleges broad, systemic failures by ING firms to properly retain and review email correspondence.
State examiners must ensure PPACA, state compliance
State insurance examiners have their work cut out for them with following both the state and federal statutes and making sure the higher standard is followed.
CCIIO head: federal health care exchanges to be ready to enroll on time
"Ten months from today, people will be signing up for health insurance. Many will have not had health insurance or will have had it and lost it," Cohen said. Will states be ready to regulate?