Securities Fraud Articles
Theodore Farnsworth Allegedly Defrauded Investors
SEC Bars Theodore Farnsworth for Misrepresentation The U.S. District Court for the Southern District of New York has reportedly entered a...
Regulatory Enforcement and Compliance Trends in 2024
2024 Closes with a Record for Regulatory Enforcement $8.2 Billion According to an article in Financial Planning this week, the end of 2024...
Buying on Margin – Worth the Risk?
Understanding Margin Trading Risks and Requirements The Financial Industry Regulatory Authority (FINRA) recently issued an investor alert...
Morgan Stanley Fined Over Brokers’ $10M Fraud
Morgan Stanley Brokers Allegedly Misappropriated more than $10 Million Morgan Stanley Smith Barney will reportedly pay a $15 million fine...
FINRA Proposes Fee Increase for Member Firms
FINRA Proposes Fee Increase for Member Firms The Financial Industry Regulatory Authority (FINRA), the self- regulator who oversees brokers...
Vanguard Settles Class Action Lawsuit for $40 Million
Vanguard Group Agrees to Settle Suit over Target Date Funds Vanguard Group has reportedly agreed to a $40 million settlement to resolve a...
