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.
Man Who Bought Hundreds of Snowmobiles With Ponzi Funds Sentenced to 8 Years
By Dinah Wisenberg BrinStanley Pophal of Wausau, Wisconsin, ran a $14.25 million scheme that funded his lavish lifestyle, prosecutors say.
September 04, 2026
83-Year-Old Pleads Guilty in $11M Ponzi SchemeThe scam by Barbara A. Hirshfield spanned years and involved over 200 victims, prosecutors said.
September 04, 2026
White House Review of SEC Rules Draws Mixed ReactionsAdvisors and industry watchers disagree on whether OMB review will improve or slow SEC rulemaking.
September 03, 2026
Pontera Expands Platform to Support Non-Discretionary Retirement AdviceThe announcement comes amid an ongoing dispute over held-away account access.
September 03, 2026
New Bill Requires SEC to Create Life Insurance, Annuity Registration FormsThe CLEAR Forms Act calls for forms tailored to registered non-variable insurance contracts.
September 02, 2026
Private Fund Advisors Busted in Ponzi-Like Scheme Against Retirees: SECMark Hanf and Hoai-Nam Chu Phan made material misrepresentations regarding the Pacific Fund and Freedom Fund, a complaint says.
September 02, 2026
Fake NFL Player, Phony Advisor Charged With Swindling at Least 26 Women: DOJA teenager posed as a financial advisor for the bogus San Francisco 49er, prosecutors say.
September 01, 2026
SEC Investigating Florida Advisor Facing Millions in Lawsuits: ReportMichael Watkins is accused of defrauding 13 clients.