Displaying 24 results
Ex-insurance agent at heart of alleged $2.5 million fraud
Julie Ann Moskin and Retire Happy received fees for selling dubious securities, according to Massachusetts Secretary of the Commonwealth William Galvin
Robinhood accused of manipulating customers by Massachusetts regulator
The complaint marks the first time the state's fiduciary rule is being used to bring charges against a brokerage firm
William Galvin: Infinex Investments fined $125,000
Firm sold products that seniors didn't understand, Massachusetts state regulator says.
William Galvin blasts House Financial CHOICE Act
Massachusetts regulator calls the pending legislation 'a gift to the investment industry and Wall Street special interests.'
