State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
June Court Date Set for Suspect in BofA Exec Michelle Avan's Killing
By Jeff BermanThe next hearing for Anthony Duwayne Turner will be June 17, according to the L.A. Superior Court.
May 12, 2022
House Passes Bill to Fund State Efforts to Protect Older InvestorsHouse also passed The Small Business Mergers, Acquisitions, Sales, and Brokerage Act.
May 11, 2022
NJ Advisor Charged With Attempted Robbery, Impersonating PoliceAnthony Naso was charged after a year-and-a-half long investigation.
May 09, 2022
Bill to Fund States' Anti-Fraud Efforts Up For House VoteUnder the bill, the SEC would implement a grant program to help states protect older investors.
May 09, 2022
June Court Date Set for LPL Network Firm Employee Charged in Double MurderRamy Hany Mounir Fahim was charged with killing his co-worker at Pence Wealth Management and the co-worker's roommate.
May 06, 2022
UBS Must Pay Clients $3.9M Over YES Options StrategyA FINRA arbitration panel ruled against the wirehouse in another dispute over its Yield Enhancement Strategy.
May 04, 2022
FINRA Wants to Make It Harder for Brokers to Clear Their RecordsFINRA found its arbitrators granted 78% of requests for expungement, which is supposed to be an "extraordinary" remedy.
April 29, 2022
Ex-Cetera Broker Gets $3M in Damages for Wrongful TerminationIn a FINRA arbitration case, the rep accused the firm of wrongfully terminating him in 2019.