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Federal prosecutors alleged James K. Couture had reached an agreement to sell a home in Cape Cod before the proceeds could go toward restitution.
August 3 -
Adjustments to the organization’s sanction guidelines and procedural rules are the latest step in its ongoing enforcement overhaul.
July 28 -
The trade group’s continued support comes with caveats as advocates for a stronger rule express hope that the Biden administration will change the 2019 regulation.
July 27 -
O’Connell violated six state laws, according to a regulatory complaint.
July 26 -
The nonprofit is serious about weeding out bad actors among CFP holders, writes Tom Sporkin, the official hired to run its compliance efforts.
July 22CFP Board -
Nearly 100 clients Mata allegedly defrauded for $14.5 million have received paltry restitution after exhausting every possible method.
July 22 -
The Houston, Texas-based firm was also censured and required to retain an independent consultant.
July 20 -
The wirehouse is the latest firm to have its financial advisors called out publicly by the regulator for disregarding warnings about holding the ETNs for a long time.
July 19 -
FINRA arbitrators decided not to hold the major custodian liable for transactions prior to 2008, an attorney for the clients says.
July 15 -
The firms agreed to censures, the settlement payments and to cease-and-desist orders tied to their alleged misconduct.
July 14