State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Ex-Edward Jones Rep Sentenced to 2 Years in Prison for Scamming Clients
By Jeff BermanThe former broker took nearly $800,000 from clients, prosecutors said.
May 18, 2023
First Command Sues LPL Over Alleged Advisor PoachingThe military-focused firm says LPL recruited three of its advisors and caused them to violate agreements.
May 18, 2023
Next Hearing Set for Ex-Broker Charged With Murder of BofA-Merrill ExecA preliminary hearing for Anthony Duwayne Turner, charged with killing Michelle Avan, was postponed until May 29.
May 09, 2023
5 Texas Annuity Bills to WatchOne thing lawmakers there are thinking about: Efforts to mix insurance and politics.
May 05, 2023
Oppenheimer Ordered to Pay Another $14M Over Ponzi SchemeA FINRA arb panel ruled against Oppenheimer for a third time after clients were steered to invest in a sketchy fund.
May 04, 2023
Florida's DeSantis Swings Back at ESG With New LawThe new House Bill 3 could create complications for investment managers in a wide range of practices.
May 04, 2023
Merrill to Pay $1.4M Over Cold CallingAdvisor trainees called numbers on do-not-call lists, according to New Hampshire regulators and FINRA.
May 04, 2023
NAIFA to Move HeadquartersThe agent and advisor group's new neighbors could include Politico and Raytheon.