Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
Advisor Charged With Conning Venezuelans, Others in $94M Ponzi Scheme
By Dinah Wisenberg BrinSeparately, the SEC accused Andrew Jacobus of swindling clergy and Catholic groups of $3.2 million.
July 23, 2025
Ex-Schwab Rep Hid Profit-Sharing Agreement With Client: FINRADaniel Michael Roper made more than 20,300 trades in exchange for a cut of the profits, the regulator says.
July 23, 2025
Morgan Stanley Faces FINRA Probe on Client Vetting: WSJThe probe includes a request for information on U.S. and international clients of the firm’s wealth unit.
July 23, 2025
Advisor Fined for Impersonating Clients on CallsNo clients were harmed, Chad Rogers of Oklahoma told FINRA.
July 23, 2025
House Passes 2 SEC BillsUnder the bills, the SEC would create a senior investor task force and update its small business definition.
July 22, 2025
Former Broker Accused of Running $9.5M Ponzi SchemeThe former broker purportedly retired after a 2014 suspension but kept soliciting investments, fraudulently, prosecutors allege.
July 22, 2025
House Passes Accredited Investor Bill Calling for FINRA ExamThe bill would let individuals take an exam in order to qualify for private investment opportunities.
July 22, 2025
The 5 Hottest Compliance Topics of 2025While there's a new SEC chief, agency staff urges RIAs to "keep your foot on the compliance pedal."