Legal Information on SEC | Securities Fraud Blog

California-headquartered brokerage firm Wedbush Securities agreed to pay $1.2 million to settle the ...

One year after the SEC first accused former Raymond James (Carlsbad, CA) broker Mark J Boucher of ...

As the Securities and Exchange Commission moves to scrutinize and potentially reduce or maybe even ...

Investors who invested with brokers or firms, such as Raymond James Financial, in the now-defunct ...

The Securities and Exchange Commission identified compliance and oversight as a key area of concern, ...

After receiving an $8 million penalty from the SEC, UBS Financial Services became the latest firm to ...