State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Ex-Broker Gets 17.5 Years in Prison for 'Masterminding' Ponzi Scheme
By Jeff BermanAt least 1,000 investors were bilked out of more than $100 million over a decade, according to the Justice Department.
January 12, 2022
Former Stark & Stark Attorneys Launch Law Firm for RIAsMax Schatzow, Cary Kvitka and Ryan Walter are looking to serve advisors with between $100 million and $10 billion in AUM.
January 10, 2022
4 Top Threats Facing Investors in 2022These are the most problematic products, practices and schemes, according to state regulators.
January 04, 2022
Precious Metals Firm Ordered to Pay $6M Over Hidden CommissionsThe firm and its founder allegedly solicited millions in investments while fraudulently charging commissions as high as 33%.
January 04, 2022
Morgan Stanley to Pay $60M Over Data BreachesThe firm allegedly failed to wipe client data from computer equipment it decommissioned and resold.
December 21, 2021
Ex-OppenheimerFunds Analyst Pleads Guilty to Securities FraudThe New York funds analyst had been accused of misappropriating confidential info on pending trades by his employer.
December 20, 2021
FINRA Upholds Bar of Ex-Broker Caught Cheating on Series 24 ExamThe ex-broker and compliance officer for a firm in Texas allegedly wrote test information on his driver's license, fingers and forearm.
December 20, 2021
Washington State Delays Long-Term Care Program LaunchThe governor says the delay will give lawmakers time to improve the program.