Compliance/Fraud Articles

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Sopranos Star’s Ex-Husband Pleads Not Guilty in Stock Fraud

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An investment firm chief who is the ex-husband of Jamie-Lynn Sigler pleaded not guilty to federal charges that he ran a scheme to manipulate stocks.

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SEC To Brokers: You Can't Pay Off Clients To 'Buy' A Clean Record

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The SEC today approved a Finra proposal that would prohibit brokers from paying off customers in exchange for an uncontested expungement hearing.

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Money Funds Get New Restrictions Aimed At Preventing Runs

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U.S. investors are used to treating money-market mutual funds as the equivalent of a checking account, but that is about to change for the riskiest of the funds.

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AIG To Use AXIS Platform

by FA Staff

Castle Rock's AXIS program will be used by the AIG Advisor Group to comply with retirement plan regulations, AIG says.

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Investors Need To Fear Fraudsters More

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Advisors should warn clients about the dangers lurking in cyberspace, a PricewaterhouseCoopers executiive says.

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Raymond James Alleges Advisor Stole $1.5M From Dementia Sufferer

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Raymond James Financial Services is pursuing more than $800,000 from a former financial advisor the firm claims swindled a 96-year-old client suffering from dementia.

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Finance Prof. To Head SEC Rules Cost Analysis Unit

by FA Staff

A University of Florida finance professor has been named director of the SEC unit in charge of evaluating the costs and benefits of proposed rules.

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Court Says Stanford's Ponzi Victims Cannot File Compensation Claims

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A U.S. appeals court ruled that victims of financier Allen Stanford's Ponzi scheme were not eligible to file claims seeking compensation.

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Seattle Advisor Used Client Assets To Buy Ski Home, SEC Says

by FA Staff

The owner of a Seattle advisory firm will pay $590,000 to settle charges by the SEC that he used client funds to pay for a ski house and vintage car.

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