Securities Fraud Articles
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...
Sean Michael Kane Allegedly Deceived Clients
SEC Bars Sean Michael Kane after Allegations of Misconduct The SEC has reportedly barred Sean Michael Kane, a financial advisor from...
