State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Former Stark & Stark Attorneys Launch Law Firm for RIAs
By Melanie WaddellMax Schatzow, Cary Kvitka and Ryan Walter are looking to serve advisors with between $100 million and $10 billion in AUM.
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.
December 15, 2021
Ex-Ameriprise Rep Who Defrauded Retirees Gets 14 Years in PrisonThe former broker scammed clients out of over $12 million as part of a real estate investment scheme.
December 13, 2021
Ex-Broker Charged With Murdering Client May Also Face FINRA SanctionsFINRA filed a complaint against the ex-broker, awaiting trial in prison, after he failed to cooperate with a fraud investigation.
December 13, 2021
7 Worst Bogus Advisors in America: 2021The head of an investment club called Amongst Friends and a dentist were among those accused of running investment scams.