Enforcement

If your firm’s Form ADV brochure trumpets a staffer’s education or certification, make sure you confirm the claim.   That’s one lesson from the SEC’s ...

Thomas Haider, the former CCO of MoneyGram, has settled his federal case that claimed he was negligent in overseeing the firm’s anti-money laundering program. The ...

Even inadvertent payments – absent of fraud – can spark a costly regulatory case. Take the new $4.5 million settlement with the SEC by William ...

A dual-registrant agreed this week to pay a $1 million fine for violating National Futures Association rules after the CEO of the London-based CPO/CTA/RIA took ...

Williams fraudulently solicited and accepted at least $13 million from 40 individuals to trade E-Mini S&P 500 futures contracts, among other things, in a pooled ...

These proceedings arise from the improper use of mutual fund assets to pay nearly $18 million for the distribution and marketing of fund shares outside ...

The Complaint alleges that from at least January 2016 through October 2016, Powderly solicited customers and prospective customers by claiming that he and a university ...

Making $6,000 in under 10 minutes would make a lot of people’s day.   The problem for Kevin Amell is that that option trade was ...

A former rep with a prior FINRA settlement on his record for violating the SRO’s suitability rules has now run afoul of the SEC for ...

Fully one-quarter of the 334 enforcement actions filed by the SEC in the first half of fiscal year 2017 have involved broker-dealers. Actions against broker-dealers ...