-
By Marlene Y. Satter, AdvisorOne |
October 11, 2012
FINRA and the SEC recently took action against a number of firms for everything from fraud to supervisory failure that in some cases cost the firms dearly.
-
By Marlene Y. Satter, AdvisorOne |
July 19, 2012
Recent actions by the SEC and DOL included fines of $127.5 million for a securities firm over false CDO credit ratings and $14.5 million for two short-selling brothers, along with deferred prosecution for an Amish fund.