SEC enforcement

The RIA divisions of Raymond James and RBC are also among the companies that self-reported.

Non-public corporate earnings reports were among the stolen information, the regulator claims.

The SEC is running on a skeleton crew that effectively halts routine oversight.

Investigators say the onetime FiNet branch manager preyed on “particularly vulnerable” clients, including several with dementia.

The IBD network’s parent repurchased the majority of Dr. Phillip Frost’s shares just before the SEC filed proposed settlements of its pump-and-dump case.

Wall Street’s main regulator has made ADR sales a focus of its enforcement efforts.

Former Securities America rep Hector May carried out a 20-year scam through his outside RIA, according to prosecutors

Investigators say the barred rep diverted more than $1.8 million of her clients’ money for personal use, including on vacations and houses.

Edward Lee Moody used the stolen proceeds to buy a home and travel to Las Vegas among other destinations.

Dick Lampen says the SEC charges against Dr. Phillip Frost, the firm’s primary shareholder, won’t affect its “significant” other resources.

Dr. Phillip Frost, the principal shareholder of the IBD network’s parent firm, has stepped down, giving way to CEO Richard Lampen.

The IBD’s advisors did not understand investments they sold to clients, the SEC says.

The agency says the biotech magnate and nine others made $27 million pumping up penny stocks.

The firm allegedly encouraged clients to use an affiliated investment advisor, and benefitted from the fees it charged them.

The SEC says the 33% owner of the parent of the IBD network participated in unlawful microcap stock sales resulting in “virtually worthless” investments.

In response to a Supreme Court ruling, the regulator will revisit 126 legal proceedings, including nearly two dozen advisor cases.

Joel N. Burstein allegedly helped his father-in-law defraud foreign investors hoping to immigrate to the U.S.

State Treasurer John Chiang says that Wells Fargo is keeping patterns of abuse hidden from view by resolving customer disputes through private arbitration.

The broker forged client signatures on annuity withdrawal requests and misled clients into making what they thought were tax payments, the SEC claims.

The advisor defrauded some 60 victims by using their money to pay off earlier investors, fund his own speculative trading and pay his personal expenses, the SEC claims.