Enforcement

State regulators opened 5,501 new investigations last year, focusing on  digital assets, precious metals, social media, and self-directed individual retirement accounts, NASAA says in its ...

MML Investor Services will pay $4.75 million to settle claims that it failed to supervise an employee who played a pivotal roll in the meme ...

Pair gamed 'meme stonk' chaos, feds claim

One in five deficiencies linked to suitability, NASAA says

Funds face 'stress-test'

Last domino in Sentinel scheme falls

In total, on about 3,000 occasions, Polevikov used this material non-public information to execute trades in his wife’s brokerage account in the same securities and ...

Helikon did not qualify for an exception to Rule 105 when it purchased shares in the Offering

Oseas Zuluaga knew, or should have known, that Revere’s proprietary holdings should have been included in the calculation of Revere’s net capital

Coda did not always provide its subscribers with information indicating where their orders had been routed or executed