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Legal & Compliance

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SEC's Ambitious Climate Agenda Stalls As Elections Raise Stakes In New Year

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The SEC has yet to finish a mandate for public companies to disclose their environmental footprints.

LPL Penalized $6 Million For Securities Violations, Finra Says

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The broker-dealer failed to supervise reps on certain transactions and misled customers about fees, Finra said.

Former Morgan Stanley Broker Barred For Alleged Client Asset Theft

by FA Staff

Gary Chang of California stole more than $58,000 from four customers, the SEC said.

SEC Payouts To Whistleblowers Plummet Despite Record Surge In Tips

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The agency received 50% more tips in the fiscal year ending Sept. 30 than a year earlier.

Insurance, Annuity Industry Wants Exclusion From Mass. 'Junk Fee' Rule

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The industry is arguing that the proposal conflicts with the underwriting process.

Ex-Texas Broker Gets 20 Years For Child Sex Assault

by FA Staff

Gregory Frank Estes was described in news reports as a prominent figure in the San Angelo community.

Maryland Advisor Pleads Guilty To Leaving Elderly Client Destitute In $1M Fraud

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Eddy Blizzard drained his client's retirement savings over a six-year period.

Citi Suit Raises #MeToo Allegations At Wall Street's Top Levels

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The lawsuit challenges the bank's efforts to present a picture of greater gender equality.

Finra Bars N.J. Broker Over Outside Business Practices

by FA Staff

Anthony J. Cantone has in the past been sanctioned over muni-bond offerings.

Anti-Money-Laundering Rules In Works For Advisors, Treasury Says

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The rules would impact hedge funds, private equity managers and certain other advisors.

Finra Bars Ex-Edward Jones Broker Linked To Alleged Pot Ponzi Scheme

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Alexandria Porter Bovee got $715,000 for her work with WeedGenics. The SEC called it a sham.

Mariner Seeks To Pause Edelman's Lawsuit Accusing It Of Poaching, Defamation

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Mariner has asked a judge to stay the claims until the completion of several arbitration proceedings involving ex-Edelman advisors.

SEC Says Conn. Ex-Broker Abused Fund Transfer System To Trade Without Money

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Andrew Komarow, formerly of LPL, was barred by Finra in June.

Merrill Sued Again For Paying Low Rates On Cash Sweep Accounts

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This latest lawsuit alleges the firm breached a Merrill Edge client's contract by not paying “reasonable” interest.

FPA Tells DOL Advisors Need More Time To Phase In Fiduciary Rule

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The trade group's CEO wants clarity on how compliance with other best interest rules will work.

JPMorgan Is In A Fight Over Its Client's Lost $50 Million Fortune

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At age 78, Peter Doelger was worth at least $50 million, but as dementia set in over the next five years, it was nearly wiped out.

Trade Groups Tell DOL To Withdraw Proposed Fiduciary Rule

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Unions and consumer groups argue rule is needed to weed out costly conflicts.

Fired Schwab Advisor Says Firm Mistook Disability For Drunkenness

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Robert Dugan said Schwab knew that he took medication for an anxiety disorder affecting his cognitive ability.

Barred Ex-Stifel Rep In N.J. Convicted In Healthcare Fraud Scheme

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A jury said Kaival Patel's false medication claims led state insurance plans to lose millions.

Barred Broker Indicted For Allegedly Defrauding Investors Out Of $88.6M

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Raymond Pirrello of Sparta, N.J., is accused of pocketing fees that he hid from equity investors.

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