Compliance/Fraud Articles

Total: 1307 1 2 3 4 5 6 7 8  Next >> [131]

Ex-LPL Broker Ordered To Pay $1.9 Million In U.S. SEC Fraud Suit

by

A former LPL broker accused of diverting clients' funds for his personal expenses has been ordered by a federal judge to pay more than $1.9 million in civil sanctions.

+ Read more

Credit Rater Profits Spared In SEC Rules That Police Conflicts

by

Sweeping changes by regulators on the credit-rating industry will force firms to disclose more about their methods and prove analysts aren’t pressured to issue bond grades that please Wall...

+ Read more

Pennsylvania Broker Charged With Making Unsuitable Investments

by FA Staff

The Finra Enforcement Department has asked that a Pennsylvania broker repay $2 million in ill-gotten commissions.

+ Read more

New SEC Rules Impact Clients

by

The SEC has adopted new rules for asset-backed securities and credit-rating agencies that should make bond ratings more reliable and pensions more secure.

+ Read more

Former First Command Advisor Pleads Guilty To Stealing From Dead Clients

by FA Staff

A former First Command financial advisor pled guilty to liquidating clients' accounts using electronic signatures.

+ Read more

Finra Fines Citigroup $1.85 Million For Trading Violations

by

Citigroup will also return more than $638,000 to customers after its securities unit failed to get the best prices for about 22,000 preferred securities trades over more than three years, Finra says.

+ Read more

Borzi: 401(k) Brokerage Windows May Need Regulation

by

An assistant DOL secretary says regulations or guidance may be needed to protect participants in 401(k) plans that allow investing in virtually all a brokerage has to offer.

+ Read more

PwC Expert Identifies Sectors Most Vulnerable To Cyber Attacks

by

Retail, heath-care and financial services company stocks are the most vulnerable to losses because of cybersecurity problems, said a principal at PricewaterhouseCoopers.

+ Read more

SEC Investor Advocate Calls For Municipal Bond Market Reforms

by

SEC Investor Advocate Rick Fleming is calling for municipal bond market reforms.

+ Read more

Triad Advisors Introduces New Platform

by FA Staff

Triad Advisors has a new platform to assist fee- and commission-based independent financial advisors with regulatory and compliance issues.

+ Read more

1 2 3 4 5 6 7 8  Next >> [131]

Financial Advisor Blogs

Portfolio Manager Insights

Expert Views

MORE VIEWS