SEC

Posts In SEC

Raymond James Broker Frederick Stow Charged with Fraud After $943,500 IRA Theft Jun 15
SEC officials announced fraud charges against Raymond James & Associates broker Frederick Markley ...
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Accurate Record Keeping & Supervision Vital as FINRA Temporarily Lifts Rules, SEC Suspends In-Person Exams During Pandemic Apr 06
With COVID-19's new social distancing normal prompting the SEC to suspend in-person exams and FINRA ...
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Excess Concentration Can Prove Disastrous During Economic Downturn Mar 27
Over the years, FINRA, SEC, and other regulators have warned broker-dealers and investors alike ...
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Criminally Charged with Fraud, SEC Bars Dennis Farrah from Penny Stock Offerings as Broker Mark Raezer Serves Suspension Over Madyson Capital Scheme Mar 11
After FINRA barred former Taylor Capital Management broker Dennis Mitchell Farrah and suspended Mark ...
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Citing 'Widespread Failures,' SEC Fines Wells Fargo $35 Million for Unsuitable Inverse ETF Recommendations, Inadequate Supervision Leading to Millions of Dollars in Customer Losses Feb 29
Wells Fargo Advisors and Wells Fargo Clearing Services will pay $35 million in fines for failing to ...
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Commonwealth Income and Growth Fund at Heart of FINRA Bar for Misuse of Funds Feb 14
Citing a pattern of misconduct involving misuse of investor monies, FINRA barred Commonwealth ...
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