State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Advisor Accused of Taking $1.6M Faces Wire Fraud Charge
By Dinah Wisenberg BrinProsecutors allege that the wealth manager misappropriated client funds, using them for her real estate business.
February 16, 2024
Trump Organization Hit With $365M Fine in Fraud TrialTrump is sure to appeal, potentially dragging out a final resolution of the case well beyond the November election.
February 08, 2024
IRA Lawsuit Shows Why Advisors Must Watch for Elder Financial AbuseA woman alleges her uncle abused her late grandmother and coerced her to change beneficiary amounts.
February 08, 2024
Arraignment Set for LPL Network Firm Employee Charged With Double MurderRamy Fahim is accused of killing co-worker Griffin Cuomo and Cuomo's roommate, Jonathan Bahm.
February 05, 2024
Yes, Annuity Issuers Can FailHere are five things to think about when evaluating the companies backing the income guarantees.
February 01, 2024
Raymond James to Pay Fine in Oregon Over High CommissionsThe penalties and restitution come after the firm agreed to a $13 million multi-state settlement last year.
February 01, 2024
NCOIL Panel Creates Model for State Dental Loss Ratio LawsRegulators could use the NCOIL model to identify insurers that spend far less than others on care.
January 31, 2024
Policyholder Sues Northwestern Mutual Over Life and Disability PoliciesA man in Florida is attributing claim filing delays to incorrect information provided by the insurer.