State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
SEC Bars Ex-LPL Rep Who Pleaded Guilty to Witness Tampering
By Jeff BermanFINRA already barred the ex-broker, who also pleaded guilty to fraud and identity theft last year.
November 12, 2022
Ex-Broker Pleads Guilty To Stealing $500K From ClientsJennifer Campbell, 47, faces a maximum penalty of 20 years in prison and a $250,000 fine.
November 10, 2022
States May Get Tougher on Health Insurance MarketersAgent groups want the NAIC to focus on lead generators. Consumer reps have different ideas.
November 09, 2022
Voters Return 3 State Insurance Commissioners to OfficeMassachusetts voters have set a minimum loss ratio for dental insurance.
October 31, 2022
Barred Broker Sentenced to 5 Years for Fraud That Shuttered Life Insurance FirmThe ex-broker scammed a life insurance company that was his client, leading it to be forced into liquidation.
October 31, 2022
Ex-Broker Sentenced to 20 Years in Prison Over Ponzi SchemePerry Santillo's 20-year sentence will run concurrently with a 17.5-year sentence he already faces.
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
Pitchfork-Wielding Climate Activists Protest at BlackRock HeadquartersProtesters reportedly dumped coal on an escalator; police arrested 10 people.