-
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 -
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 -
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 -
Former clients of Isaiah L. Goodman shared the financial losses and other harmful impact of the $2.3-million scheme.
July 6 -
The Advisor Group IBD missed 55 alerts suggesting suspicious disbursements by clients of Hector May, according to the SEC.
July 1 -
Thousands of clients paid sales charges that they wouldn’t have incurred had they held the pricey alternative products until maturity, according to FINRA.
June 28 -
The case against Centaurus Financial comes after the industry and consumer advocates decried the previous administration’s approach for different reasons.
June 10 -
The judge declined the barred rep’s request for sentence reduction based on his “severe” bipolar disorder and restitution efforts.
June 4