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“Our whistle-blower program is a critical component in our investor-protection toolbox,” SEC Chairman Jay Clayton says.
June 29
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Former San Diego Chargers guard Kris Dielman says the independent broker dealer failed to supervise his former advisor.
June 27
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A FINRA arbitration claim followed an asset freeze and the launch of a federal investigation into the fired advisor’s RIA.
June 27
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Advisors recommended that clients sell positions in complex structured products to rack up fees, says the regulator.
June 26
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Other states are likely to enter similar agreements with the broker-dealer.
June 13
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Cory Redding couldn't retire after the 2014 season and played another year to recoup some of his losses.
June 12
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Critics say the SEC isn’t living up to promises made when Jay Clayton became chairman.
June 7
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The dirty little secret about elder exploitation is that almost 60% of cases involve a perpetrator who is a family member, according to a 2014 study.
May 4
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State regulators and the No. 1 IBD struck a settlement after investigators found the firm guilty of negligence and a failure to supervise.
May 2
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Many of the trades should have triggered market manipulation concerns because they involved companies that were barely operating but engaging heavily in promotional activity, the SEC says.
April 5
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The regional BD failed to properly document its own investigations in the matter, and couldn't answer some SEC questions about who knew what and when, the regulator says.
March 27 -
The organization awarded millions to firm insiders that provided information in a 2016 case against BofA.
March 19
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Citing mounting investor losses from unpaid arbitration awards, investor advocates see a role for Congress to force FINRA's hand.
March 7
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Religious groups threaten to withdraw shareholder proposal on the bank’s decision.
March 7
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A recent scam involved a fake signature from FINRA CEO Robert Cook.
February 16
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It’s a common practice but a dangerous one.
December 12
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A 75-year-old widowed retiree allegedly lost nearly half of her $3 million investment in the scheme.
November 15
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The broker claims in filings that he was harassed by the bank, culminating in his firing in February of last year.
August 16
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Robert Cook said wealth management firms "must do their part."
June 12
