Massachusetts
Get the latest news and insights on financial regulations, enforcement actions and litigation in Massachusetts.
NAIC to Spotlight Annuity Sales Standard Update Gray Zones
By Allison BellThe list of states without updates includes Florida and Indiana as well as California and Oregon.
October 28, 2022
Trump Tax Prosecutors Say Ex-CFO Has Stopped Meeting With ThemAllen Weisselberg, star witness in the criminal tax fraud case against the Trump Organization, is no longer meeting with prosecutors. P
October 27, 2022
3 State Insurance Ballot Measures to WatchOne could lead to some clients getting dental insurance premium refunds.
October 21, 2022
Advisor Who Tried to Flee Prosecution Pleads Guilty to Defrauding ClientsSteven Xigoros was arrested at the Newark airport while trying to board a flight to Greece in September.
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 09, 2022
Ex-LPL Rep Pleads Guilty to Witness Tampering, FraudThe barred broker pleaded guilty to fraud and identity theft last year but scrapped the plea deal.
August 18, 2022
Galvin Launches Sweep of Single-Stock ETFsMassachusetts Securities Division's sweep of three broker-dealers focuses on the issuance of single-stock ETFs to retail investors.
August 17, 2022
MassMutual BD Fined $250K, Ex-Broker Barred for FraudRegulators in Massachusetts say MLS Investment Services failed to supervise Charles Evan, who pressured clients into buying unsuitable insurance products.