Compliance/Fraud Articles

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Ex-Broker Fined $850,000 For Scheme To Profit From Terminally Ill: SEC

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A former broker who masterminded an annuity scheme to profit from the deaths of terminally ill patients has been banned from the securities industry, says the agency.

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Finra Fines Rising Rapidly

by FA Staff

If fines in 2014 continue at the current rate, this year will represent a 49 percent increase from the total fines reported in 2013.

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Program Set To Help Lawyers Spot Elder Investment Fraud

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The American Bar Association launches a new education initiative to help lawyers spot senior financial abuse.

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Finra Files Churning Charges Against Five Brokers Associated With Newport Coast

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The regulator alleges that the brokers churned the accounts of 24 customers, using margin and risky securities to generate huge commissions.

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Elderly Advisor Convicted On Fraud Tied To Microcaps, NY Horse Firm

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An advisor in his 70s was found guilty of funneling client money to a horse racing firm and small, thinly traded companies in exchange for secret kickbacks.

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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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