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Regulation and Compliance > State Regulation & Compliance

Florida Financial Regulation

Get the latest on Florida's financial regulations, enforcement actions and litigation.

Webcasts

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Morgan Stanley Fires Rep Charged With Stalking Ex-Girlfriend
Schumer-Manchin Deal May Raise Some Life Insurers' Taxes
Barred Broker Who Did Merrill Stint Indicted in $100M Crypto Scam
Wells Fargo in Criminal Probe Over Fake Job Interviews: Report
Ex-Wells Fargo Exec Who Alleged Fake Job Interviews Plans to Sue Over His Firing

Podcasts

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Ex-Cetera Broker Gets $3M in Damages for Wrongful Termination
Ex-UBS Rep Who Spent Client Money on Girlfriends’ Gifts Pleads Guilty
Ex-UBS Broker Spent $4.6M of Client Money on Gifts for Women: SEC
FINRA Bars Ex-Primerica Rep Accused of Faking CE Completion Documents
Ex-Merrill Rep Who Scammed Pastors Sentenced to 7 Years in Prison