securities law violations

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  NASAA’s Advocacy Agenda: Advisor Regulation, Fiduciary Duty, Arbitration

  By Heath Abshure, NASAA President  |  March 19, 2013

  Our agenda calls for Congress to ensure all investors are protected when receiving individualized investment advice. This revolves around two key issues.

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  SEC Names Acting, Deputy Directors of Enforcement

  By Melanie Waddell, AdvisorOne  |  February 1, 2013

  The SEC announced Thursday that George Canellos has been named acting director, and that David Bergers, director of the SEC’s Boston Regional Office, has been named acting deputy director.

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  SEC Enforcement Roundup: Hedge Fund Manager Fined $44 Million in China Scheme

  By Marlene Y. Satter, AdvisorOne  |  December 13, 2012

  Among recent enforcement actions taken by the SEC were charges against a Miami-based entrepreneur for defrauding investors.

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  SEC, FINRA Enforcement Roundup: Insider Trading Ring Busted; Raymond James Hit

  By Marlene Y. Satter, AdvisorOne  |  December 7, 2012

  Among recent actions taken by the SEC and FINRA were the breakup of an insider trading ring; Raymond James getting fined and censured; and proceedings over securities law violations by the Big Four accounting firms' China affiliates.

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  SEC, FINRA Enforcement Roundup: Bristol-Myers Squibb Exec Charged

  By Marlene Y. Satter, AdvisorOne  |  August 2, 2012

  There was an international flavor to some of the recent actions taken by the SEC and FINRA, including freezing $38 million in assets in an international insider trading case and charges involving a Chinese reverse merger company.

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  The Penalty Box: Would Stiffer SEC Fines Make Evildoers Think Twice?

  By Bob Clark, AdvisorOne  |  July 25, 2012

  An upcoming bill would raise the penalties the SEC can impose on financial ne'er-do-wells. Maybe Congress’ time would be better spent increasing the likelihood that the SEC will catch anyone—by, oh, I don’t know, maybe increasing their funding?

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  Exclusive: Biggest SEC Enforcement Effort Is Advisor Misconduct

  By Melanie Waddell, AdvisorOne  |  June 5, 2012

  In exclusive interview, former SEC enforcement official Kaplan says agency had doubled actions against advisors to investment vehicles, especially private funds, with more scrutiny to come.

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  SEC Enforcement Roundup: Former SEC Official Barred for Ties to Stanford

  By Marlene Y. Satter, AdvisorOne  |  May 31, 2012

  Conflict of interest charges against a former SEC official and charges of deceiving investors against a Miami-based hedge fund advisor were among the enforcement actions taken recently by the SEC.

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  Risk-Based Oversight of Investment Advisors

  By Les Abromovitz  |  January 1, 2012

  Even if the SEC had a larger budget and more resources, it is doubtful that the Commission would have the resources to regularly examine all RIAs. Therefore, the SEC is likely to continue relying on risk-based oversight to fulfill its mission of protecting investors.

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  The Need for Thorough and Effective Policies and Procedures

  By Les Abromovitz  |  January 1, 2012

  Whethere an advisor is SEC or state-registered, RIAs must revise their policies and procedures to address significant compliance problems occurring during the year, changes in business arrangements, and regulatory developments.