California
Get the latest news and insights on California's financial regulations, enforcement actions and litigation.
Next Pretrial Hearing Set for LPL Network Firm Employee Charged in Double Murder
By Jeff BermanThe next hearing for Ramy Fahim has been scheduled for Feb. 10.
September 21, 2022
Advisor Charged With Securities Fraud in Insider Trading SchemeAn advisor allegedly traded after a friend discussed a potential acquisition at the company he worked for.
September 19, 2022
10 States With the Highest Super Earner CutoffsTo rank in the top 5%, households in these states had to make a minimum of $465,000.
September 14, 2022
Pretrial Hearing Set for LPL Network Firm Employee Charged in Double MurderThe next hearing for Ramy Fahim has been scheduled for Dec. 2.
September 14, 2022
SEC Charges Advisor With Stealing Over $743K From Clients, Including MLB PlayerThe fund transfers were used to pay for charges on his dead mother's American Express card, according to the SEC.
September 13, 2022
TD Ameritrade, BofA Among 4 Firms Sued Over Biometric Voice PrintsFour separate complaints allege the firms violated the California Invasion of Privacy Act.
August 19, 2022
Morgan Stanley's $10.2M Deal Over Advisor Expenses Heads Back to CourtThe settlement is tied to a class-action complaint that the firm didn't correctly reimburse some 3,000 advisors.
July 28, 2022
House-Passed H.R. 3962 Would Ease Online NotarizationsThe bill could make completing some types of life and annuity transactions online simpler.