Regulatory & Compliance (315)
Time to Comply with SEC’s Marketing Rule Is Now, Lawyers Warn
- Wednesday, 09 November 2022
- Regulatory & Compliance
- Written by PFA News
The SEC’s rejiggered advertising and marketing rule officially took hold on November 4, and advisors who have yet to comply should hold off on ads and testimonials until they’re caught up, industry attorneys caution. So reports Think Advisor.
Read more...Finra Settles First Reg BI Enforcement Action
- Thursday, 13 October 2022
- Regulatory & Compliance
- Written by PFA News
The Financial Industry Regulatory Authority has completed its first enforcement case under the Securities and Exchange Commission's Regulation Best Interest, or Reg BI. So reports Financial Advisor.
Read more...FINRA Increases Fine Ranges
- Monday, 03 October 2022
- Regulatory & Compliance
- Written by PFA News
FINRA has increased the size of fines it can dole out to large and midsize firms, the regular recently announced. So reports Think Advisor.
Read more...Arbitrators Hit Oppenheimer & Co with $36M Ruling Over Ponzi Scheme
- Friday, 09 September 2022
- Regulatory & Compliance
- Written by PFA News
An arbitration panel has issued a more than $36 million arbitration award against Oppenheimer & Co. So reports Advisor Hub.
Read more...CA Advisor Gets 10 Years in Prison for $300M Ponzi Scheme Targeting Veterans
- Wednesday, 24 August 2022
- Regulatory & Compliance
- Written by PFA News
Scott Kohn, 68, of Newport, California, has been sentenced to 10 years in prison for his role as the ringleader of a nationwide, $300 million Ponzi scheme, according to an announcement from the U.S. Department of Justice.
Read more...Morgan Stanley Settles with Regulatory Duo for $200M
- Thursday, 11 August 2022
- Regulatory & Compliance
- Written by PFA News
Morgan Stanley has settled with the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) over recordkeeping and business communication issues. So reports Reuters.
Read more...Finra Bans Duo for Cheating on Online Exam
- Thursday, 21 July 2022
- Regulatory & Compliance
- Written by PFA News
Finra has banned Brandon Autiero and Harris Kausar for allegedly cheating on their remote securities exam. So reports Barron’s.
Read more...Banned FA Charged in $100M Crypto Fraud
- Monday, 11 July 2022
- Regulatory & Compliance
- Written by PFA News
Joshua David Nicholas, a former financial advisor who was barred by FINRA earlier this year, has been indicted by a South Florida federal grand jury for his part in a crypto scheme.
Read more...Fugitive FA Ordered to Pay $12M
- Tuesday, 14 June 2022
- Regulatory & Compliance
- Written by PFA News
The FBI still has not found fugitive financial advisor and radio host Chris Burns, who has been missing for two years, but a federal court has ordered him and his companies to pay more than $12 million. So reports the Atlanta Journal-Constitution.
Read more...SEC: TradeZero Deceived Customers about Meme Stock Trading Halts
- Friday, 27 May 2022
- Regulatory & Compliance
- Written by PFA News
The Securities and Exchange Commission charged broker-dealer TradeZero America Inc., and its co-founder, Daniel Pipitone, with falsely stating to the firm’s customers that they didn’t restrict the customers’ purchases of meme stocks when in fact they did.
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