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Joseph DeGregorio promised a 13% return on promissory notes that never existed.
May 11
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The financial services firm continues to go before FINRA arbitration panels to defend itself against claims over ex-broker's actions.
May 8
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The top Massachusetts securities regulator contends a broker's misdeeds could have been prevented if internal compliance officers had only tried.
May 2
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His lawsuit is the first to follow the U.S. Supreme Court's decision in another case questioning the regulator's "at-home" advantage with internal proceedings.
April 28
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The information is technically out there, but FINRA critics contend the regulator should be doing more to make the public aware of advisors with dubious pasts.
April 6
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The $2.4 billion request for the Wall Street regulator would put 1,434 officers on the compliance beat, up 4% from seven years ago.
April 4
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The SEC and DOJ accused a New Jersey-based broker of using insider knowledge to make more than $3.4 million from a scheme involving special purpose acquisition companies.
April 3
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The service's Criminal Investigation unit investigated 975 tax and money laundering cases related to COVID-19 with fraud totaling $3.2 billion.
March 23
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Americans lost 30% more money to scams last year than in 2021. And the biggest losses were from seniors.
March 17
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An advisor group warns the cybersecurity regulation is coming amid a flurry of proposals that could leave firms buried.
March 17
