Archives
- 2012.01.29: FINRA Issues Regulatory Notice and Warns of Email Attacks
- 2012.01.25: Citigroup Resolves Disclosure Issues with FINRA
- 2012.01.15: SEC Files Fraud Action Against Company Trading in Life Settlements
- 2012.01.06: FINRA Looks Back at 2011 -- Part Two
- 2011.12.29: FINRA Looks Back at 2011
- 2011.12.23: FINRA Settles Matters with Barclays and Wells Fargo
- 2011.12.14: SEC Settles Regulation SHO Violations with Chicago Trader
- 2011.12.10: Guidance from FINRA and the SEC on Branch Inspections
- 2011.11.30: No Go on the Citigroup CDO Settlement with SEC.
- 2011.11.18: Chase to Pay $1.9 Million Reimbursement to Customers
- 2011.11.10: SEC Fiscal Year Reports A Record Number -- Enforcement Actions
- 2011.11.06: SEC Obtains TRO in Hedge Fund Matter
- 2011.10.26: UBS Agrees to $12 Million for Alleged Reg SHO Violations
- 2011.10.22: SEC Gives Nod to Voluntary Remediation Efforts
- 2011.10.14: FINRA Foundation Announces More Support of Military Families
- 2011.10.07: $1 Million -- Merrill Lynch Fined for Supervisory Failures
- 2011.10.02: SEC Settles Civil Fraud Action Against Two Former AOL Executives
- 2011.09.23: SEC files Securities Fraud Action in Case Involving Claims of Wildly Inflated Returns
- 2011.09.15: FINRA Targets Fee Review and Finds Hidden Commissions
- 2011.09.07: $3.9 Million Insider Trading Scheme Alleged by SEC
- 2011.08.30: FINRA Suspends Trader for Spoofing
- 2011.08.15: FINRA and Stanford University Join Up to Stop Fraud
- 2011.08.09: Don't Ignore Red Flags
- 2011.08.03: SEC Goes After "Home Grown" Insider Trading
- 2011.07.28: $4.6 Million ARS Settlement for Sun Trust RS
- 2011.07.23: SEC Proxy Access Rule Struck Down By DC Circuit Court
- 2011.07.13: JP Morgan Securities to Pay $200 Million for Reinvestment Practices
- 2011.07.01: $230 Million In Offshore Frozen Assets Returned to United States
- 2011.06.24: $200 Million for Exaggerated Sales Materials and Supervision Failures
- 2011.06.22: $153.6 Million Settlement for JP Morgan in CDO Failure
- 2011.06.17: Investors Beware -- SEC and FINRA Caution Structured Notes With Principal Protection Carry Risks
- 2011.06.08: Northern Trust Fined $600,000 for Inadequate Supervision & Monitoring
- 2011.06.02: Investor Alert Issued by FINRA on Stock-Based Loans
- 2011.05.24: $3 Million in Fines for ARPS Misleading Marketing Materials
- 2011.05.11: Better Said -- FINRA Bars Trader for Lack of Truth
- 2011.05.06: $1 Million in Fines for Wells Fargo Advisors
- 2011.04.29: SEC Settles Up Hedge Fund Insider Trading Case
- 2011.04.22: FINRA Suspends Pinnacle for Fraudulent Misrepresentations
- 2011.04.15: $2.5 Million in Fines for UBS
- 2011.04.05: False SEC Filings Don't Pay
- 2011.03.25: FINRA Imposes Fines After a $6.3 Million Single-Day Short Sales Loss
- 2011.03.17: Pre-IPO Scams Are Not Facebook Friends Warns FINRA
- 2011.03.09: FINRA Expels and Bars in Hedge Fund Fraud
- 2011.03.04: SEC Charges Former UBS Financial Advisor In $3.3 Million Fraud Scheme
- 2011.02.25: $33 MILLION FRAUD SCHEME AGAINST AMISH INVESTORS
- 2011.02.18: $600,000 in FINRA Fines -- Failing to Protect Client Info
- 2011.02.10: $30 Million Scheme Charged by SEC for Hedge Fund Managers and Traders
- 2011.02.03: FINRA Gets SEC Nod for All Public Arbitration Panels
- 2011.01.27: Merrill Settles for $10 Million with SEC
- 2011.01.20: $66 Million New York Advisory Firms and Officers Charged By SEC
- 2011.01.14: $325 Million Expected in Settlements for Schwab's YieldPlus Fund
- 2011.01.07: SEC 2011 Litigation Filings Off and Running
- 2010.12.30: FINRA Year in Review -- Part Two
- 2010.12.23: FINRA Year in Review - $41 Million in Fines and Changes in Investor Protection and Market Regulation
- 2010.12.16: FINRA Foundation Launches Financial Capability Study Site
- 2010.12.08: FINRA Seeks Cease and Desist Against Pinnacle Partners
- 2010.12.03: SEC Charges Former Deloitte Tax Partner with Insider Trading
- 2010.11.29: Almost Over: $53 Million Backdating Settlement for Former Comverse Technology CEO
- 2010.11.19: More Telling -- FINRA Proposes Disclosures to Retail Customers
- 2010.11.12: Goldman Fined for Untimely Disclosures after "Wells Notice"
- 2010.11.05: Got Funds? FINRA Guides Broker-Dealers on Liquidity and Risk Management
- 2010.10.29: Compliance Officers Invited to SEC and FINRA National Seminar
- 2010.10.22: A Cautionary Note on Reverse Convertibles
- 2010.10.15: Swaps Meet -- SEC Proposes Rule to Mitigate Conflicts of Interest
- 2010.10.08: A $1 Trillion Market -- SEC Out to Protect Individual Bondholders
- 2010.09.30: FINRA GOES TO SEC FOR RULE ON ALL-PUBLIC ARBITRATION PANELS
- 2010.09.23: Take Note: FINRA Regulatory Notice 10-41 on Muni Securities Obligations
- 2010.09.16: $20 Million Settlement in SEC's Action Against FTC Capital Markets
- 2010.09.03: SEC's Proposed Universal Fiduciary Standard Comment Period Ends
- 2010.08.31: $800,000 Million Fine for Morgan Stanley
- 2010.08.20: Due Tell -- SEC Awards Unprecedented $1 Million Bounty for Insider Trading Information
- 2010.08.13: BrokerCheck® New Dispute Process Begins Soon
- 2010.08.04: SEC Approves BrokerCheck® Revamp in Regulatory Notice 10-34
- 2010.07.30: Goldman and the $550 Million SEC Settlement
- 2010.07.23: Suitability Issue -- SunTrust Settles $1.44 Million
- 2010.07.15: More Info, Longer Shelf Life, As SEC Gives BrokerCheck® Go-Ahead for Expanded Public Records
- 2010.07.06: Done Deal -- Former Deutsche Bank Broker Permanently Barred
- 2010.06.30: NEWS UPDATE: FINRA TAKES OVER SURVEILLANCE AND ENFORCEMENT
- 2010.06.25: SEC Files Fraud Action Related to Housing Woes
- 2010.06.18: Laid to Rest -- $1.5 Million FINRA Sanction Closes Citigroup Cemetery Trust Fund Supervisorial Mess
- 2010.06.04: Class Dismissed -- Claims Against Ratings Agencies Ousted by Judge Rakoff
- 2010.05.27: Back-Office Personnel Targeted for Registration and Education
- 2010.05.18: SHO Down -- Nearly $1 Million in Fines for Regulation SHO Violations
- 2010.05.12: Hands Off Doesn't Pay -- $400,000 for Westpark Capital to Customers and FINRA Fines
- 2010.05.06: In the News: Arbitration and Enforcement Updates from FINRA
- 2010.04.30: The Big Freeze Still Thawing as ARS Settlements Continue
- 2010.04.22: FINRA Issues New Notice -- $609 Billion in Private Placements Compels Guidance
- 2010.04.13: Sometimes It's Not Good to Be First -- Citigroup Fined $650,000
- 2010.04.05: Not Another Fine Day for Scottrade -- $200,000 for Securities and Banking Issues.
- 2010.03.29: Inadvertent List Hits in DOJ Antitrust Action
- 2010.03.21: Expulsion for Provident Asset After $480 Million Raised for Private Placement
- 2010.03.13: Mistrial at Retrial? Government Woes May Continue in Backdating Prosecution
- 2010.03.08: Court Orders Former Kmart CEO to Pay $10 Million
- 2010.03.01: More Guilty Please? $1.9 Million Illicit Profits for Madoff's Chief Back Room Operator
- 2010.02.22: Talking Points Or Taking Points? Privilege Waiver on the Line.
- 2010.02.14: SEC Backs Off Broadcom Backdating Case -- $118 Million Later
- 2010.02.08: Merry or Merrill-y Go Round? SEC and BofA Settle, Again.
- 2010.01.29: What A Tangled Web They Weave -- Over $1 Billion in Losses
- 2010.01.22: $1.5 Million for Investor Literacy -- FINRA Foundation and the American Library Association Team Up
- 2010.01.15: "Extraordinary" -- Claims SEC In New Suit Against BofA in Merrill Deal
- 2010.01.08: SEC secures $8.6 Million Return After Insider Trading Settlement
- 2009.12.31: When Green Is Not Renewable - FINRA's Investor Alert on Green Scams
- 2009.12.22: SEC's Price for Inter-Broker's Bad Behavior? How About $25 Million.
- 2009.12.18: Court Issues Big Holiday "Bonus" for Broadcom's Former Execs
- 2009.12.11: Tech Wreck -- $1.2 Million Fine For MetLife Securities
- 2009.12.02: US Supreme Court to Hear Transnational Securities Case
- 2009.11.20: Auction-Rate "InSecurities" -- Wells Fargo's $1.4 Billion Buy Back
- 2009.11.13: SEC's First Enforcement Using Regulation G Targets SafeNet - Over $1 Million in Fines
- 2009.11.06: Publicity Stunted -- SEC Shuts Down Broker's Fake PR Blast
- 2009.10.29: Learning the Hard Way -- Inadequate Anti-Money Laundering Program Costs Scottrade $600,000
- 2009.10.21: Seriously Taxing -- Citigroup Fined $600,000 in Failure to Supervise
- 2009.10.19: A New Twist on Privilege Review - How About That Bank of America Waiver?
- 2009.09.25: Perot No-No -- $8.6 million Insider Trading Allegations Against Employee
- 2009.09.17: When No Deal is a Big Deal. Judge Rakoff Rejects the BofA / SEC Settlement.
- 2009.09.11: Thawing To Liquidity -- $128 Million in Auction Rate Securities Holdings Repurchased
- 2009.09.04: $118 Million Settlement in Broadcom's Stock Option Backdating Claims
- 2009.08.28: Quick Steps -- FINRA Streamlines Dispute Resolution on Promissory Notes
- 2009.08.21: School Daze - Ameritas Investment Corp. fined $100,000 & Broker Suspended in College Fund Planning Scheme
- 2009.08.14: SEC Files Fraud Suit in $197 Million Real Estate Mortgage Scheme -- Radical Bunny, LLC Principals in a Heap of Trouble
- 2009.08.12: Bank of America Settlement with SEC for $33 Million in Merrill Lynch Bonus Bungle Not a Done Deal
- 2009.07.30: Merrill Lynch, UBS slapped for unsuitable sales of closed-end funds -- a $5 million pay-out to customers and fines for supervisory failures.
