New York
Get the latest news and insights on New York's financial regulations, enforcement actions and litigation.
Morgan Stanley to Pay $60M Over Data Breaches
By Jeff BermanThe firm allegedly failed to wipe client data from computer equipment it decommissioned and resold.
December 03, 2021
New York Proposes Surprise Billing CrackdownThe state says plans should hold patients harmless when directories provide incorrect network status information.
November 24, 2021
2 More States Adopt Commission-Friendly Annuity Sales RulesAdvocates of the model hope to ward off the imposition of a broad fiduciary standard.
November 22, 2021
Bogus Broker Who Threatened to Kill Disabled Client Gets 5-Plus Years Behind BarsGregg Brie admitted to embezzling funds from three victims, two of whom lived in his New York apartment complex.
October 27, 2021
Stock Trader Charged With Securities Fraud in Twitter Pump-and-Dump SchemeThe Ohio stock promoter used the social network for his over-the-counter penny stock scam, DOJ and SEC allege in separate actions.
October 18, 2021
2 Crypto-Lending Firms Ordered Shut by N.Y. Attorney GeneralRegulators in several states are taking aim at crypto lending firms, which have rapidly gathered tens of billions of dollars.
September 27, 2021
New York State to Get a New Top Insurance RegulatorMeanwhile, the American Academy of Actuaries has a new executive director.
April 30, 2021
Barred Long Island Broker Charged in Pre-IPO Share ScamThe broker and his partner allegedly took $436,000 from investors who thought they were buying shares of Peloton, WeWork or Airbnb.