Enforcement

FINRA’s exam priorities letter could not be clearer: “Protecting senior investors will remain a top priority in 2017.”  But a series of recent enforcement cases ...

Should you rely on a vendor to keep required records, don’t assume the documents will be there when you need them.   That’s one lesson ...

Stefan Lumiere will learn his fate in May – when he will be sentenced for securities fraud that could keep him behind bars for decades. ...

It appears that owner and CCO Mark Robare has granted his attorney permission to appeal November’s SEC decision by the three commissioners. That decision found ...

Despite cybersecurity threats, automation often beats a human using a manual method.   J.P. Morgan Securities relied on one employee using a largely manual process ...

The bill has come due for former MF Global CEO Jon Corzine, who presided over the firm’s bankruptcy and misuse of customer assets. The CFTC has ...

Two years after David Zier, the former CEO of Convergent Wealth Advisers ($4.6B in AUM) in Potomac, Md., took his life after questions were raised ...

For five years ending in 2012, traders at Goldman Sachs manipulated a key interest rate benchmark to benefit the firm’s proprietary derivatives’ positions while harming ...

FINRA has been relatively patient as firms have built their cyber defenses even as a growing number suffer devastating attacks. But there is a line, ...

It’s not unexpected as an Administration shifts in Washington that government officials begin to move on. The latest example of this is the announcement that ...