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 LPL Network Firm Employee Charged in Double Murder
By Jeff BermanRamy Hany Mounir Fahim was charged with killing his co-worker at Pence Wealth Management and the co-worker's roommate.
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.
April 27, 2022
California Task Force Plows Ahead With Long-Term Care Insurance EffortThe state is thinking that private plans might pay $3,000 to $6,000 per month for up to two years.
April 26, 2022
May Court Date Set for Suspect in BofA Exec Michelle Avan's KillingThe next hearing for Anthony Duwayne Turner is scheduled for May 18, according to the district attorney's office.
April 25, 2022
LPL Network Firm Employee Could Face Death Penalty in Double Murder CaseRamy Fahim was charged with special circumstances murders for allegedly stabbing two people, including his co-worker.
April 20, 2022
SALT Deduction Cap Stays in Place After Supreme Court Rejects New York ChallengeThe court declined to review a constitutional challenge to the $10,000 cap on state and local tax deductions set by Congress in 2017.
April 15, 2022
Ex-UBS Rep Who Spent Client Money on Girlfriends' Gifts Pleads GuiltyThe former broker could spend up to 60 years in prison.
April 14, 2022
Ex-Head of RIA Sentenced to 12 Years in Prison Over $120M ScamThe former IIG managing partner and CIO was also sentenced to three years of supervised release.