Displaying 14 results
Finra charges advisor with paying under the table commissions
Finra alleges a southern California broker kicked back $900,000 in commissions to non-registered sales person.
Finra smacks Philly broker with Wells notice
"It's not a good day for Austin Dutton," says one attorney.
New era imminent as SEC focuses on accountability
The agency seems to be moving toward seeking admissions of guilt from firms based on first-of-their-kind enforcement actions that it has taken as well as comments that its leaders have made.
Gensler taps Alex Oh as SEC enforcement chief
She is another in a line of recent SEC enforcement directors who comes to the agency with experience as a federal prosecutor.
Thomas Sporkin tapped by CFP Board to head enforcement
The former SEC executive will beef up the organization's detection, investigation and prosecution
SEC obtains record $4.7 billion in penalties, disgorgement
Enforcement cases drop in latest fiscal year, but agency officials tout results obtained amid pandemic challenges
Clayton touts SEC enforcement achievements despite pandemic disruptions
The agency imposed sanctions totaling more than $4 billion and examined 15% of RIAs
CFP Board changes governance practices
In a move to enhance oversight of the credentials, new rules strengthen the board’s ability to enforce code of ethics and standards
State regulators flexed enforcement muscle in 2019
The NASAA report shows last year produced the most actions taken and money returned to investors in five years
Enforcement, arbitration proceedings move online
Taking testimony, conducting depositions and hearings remotely gains acceptance
Finra board approves enforcement tech upgrade
The panel also advanced a proposal to target exam cheating and pledged to increase the diversity of its membership
CFP Board reforms enforcement procedures to align with new ethics code
The changes are designed to give the organization better access to information for disciplinary actions
SEC charges unregistered adviser with failing to disclose conflicts
Barred by Finra, Donald Hunter set up a private fund that bought shares he had owned personally
Study shows softening of Finra enforcement last year
Law firm Eversheds Sutherland says fines, restitution, cases decreased; Finra touts the quality of its cases
