According to an SEC press release, in the 2014 fiscal year that ended on September 30, 2014, the SEC achieved a record-breaking year by filing 755 enforcement actions and obtaining orders that totaled $4.16 billion in disgorgement and penalties. The SEC attributed...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: December 2014
Recent Posts
- Many financial advisors staying on the job due to fear of retirement
- Client associate files gender discrimination lawsuit against Wells Fargo
- Lawsuit filed against JP Morgan over low interest rates in cash sweep program
- FINRA sanctions NYC broker over misleading and exaggerated stock predictions
- Arizona broker-dealer ordered to pay $1 million in connection with salesman’s fraudulent actions
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