Enforcement

FINRA has come down hard on a broker for more than $1 million in improper soft dollar payments, including $13,700 for a hedge fund manager ...

A jury has found a former Fidelity trader liable of insider trading for tipping his mother on pending trading information for advisory clients. While DavidDonovan ...

When people point to the first sign of the trouble that led to the market meltdown they may cite the collapse of two Bear Stearns' ...

A year after the market downturn and months after Madoff, the SEC is embarking on new reforms, fueled by new leadership, energy and focus, and ...

At first glance, the case against Ameritas Investment Corp. of Lincoln, Neb., for failing to supervise a broker who sold clients unsuitable life insurance policies, ...

When college pitcher Bryan Price signed with the Boston Red Sox last year, he was looking for a place to park his $200,000 signing bonus. ...

The investors reside in Taiwan. The accused sits in England. The prosecutor labors from Boston.For two years, Glenn Manterfield of the U.K., has been dodging ...

Details have finally emerged on the changes Director Robert Khuzami has made to the Enforcement Division he heads. These include the establishment of five specialized ...

Sources tell us it's highly unusual for the SEC to revise a sweep-exam letter mid-stream but it appears this is exactly what has happened with ...

The SEC has fined Morgan Stanley $500,000 for Advisers Act violations, and has set a hearing to decide the fate of an investment adviser the ...