SEC, FINRA Enforcement Roundup: Schwab's BrokersXpress Hit With Another Fine
FINRA and the SEC recently took action against a number of firms for everything from fraud to supervisory failure that in some cases cost the firms dearly.
SEC, FINRA Enforcement Roundup: $268M Insider Trading Scheme Busted
Charges of insider trading in a secondary stock offering, accounting violations and efforts by a phony company president to push a fake penny-stock investment were among enforcement actions taken by the SEC.
SEC Charges RBC Capital Markets in CDO Misconduct
In the latest crackdown on improper use of CDOs, the SEC on Tuesday charged RBC Capital Markets for misconduct in the sale of unsuitable investments to five Wisconsin school districts