California
Get the latest news and insights on California's financial regulations, enforcement actions and litigation.
Next Hearing Set for Suspect in BofA-Merrill Exec's Killing
By Jeff BermanEx-Merrill broker Anthony Duwayne Turner's next hearing will be held Feb. 15.
December 30, 2022
FINRA Fines, Suspends Ex-Securities America Rep Who Impersonated Dead ClientThe ex-broker pretended to be her deceased relative, a firm client, in a phone call, FINRA says.
December 14, 2022
10 Worst States for December Working-Age COVID-19 Hospitalization IncreasesThe number of hospitalized people ages 20-59 increased 38% between early November and early December.
December 13, 2022
NAIC to Spotlight Annuity Sales Standard Update Gray ZonesThe list of states without updates includes Florida and Indiana as well as California and Oregon.
December 13, 2022
Regulators End Effort to Develop Long-Term Care Hybrid RulesSome officials say current regulations appear to be working well.
December 06, 2022
Next Pretrial Hearing Set for LPL Network Firm Employee Charged in Double MurderThe next hearing for Ramy Fahim has been scheduled for Feb. 10.
November 09, 2022
Voters Return 3 State Insurance Commissioners to OfficeMassachusetts voters have set a minimum loss ratio for dental insurance.
September 30, 2022
SEC Smites Pastor of Fake Church Over Ponzi SchemeThe Church for the Healthy Self held no religious services but ran an investment program promising 12% returns.