William Galvin

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  5 Indie BDs Ordered to Pay $9.6M for Nontraded REIT Violations

  By Melanie Waddell, AdvisorOne  |  May 22, 2013

  Massachusetts Securities Regulator William Galvin ordered five IBDs to pay $8.6 million in restitution to investors and fined them a total of $975,000 for improper sales of nontraded REITs.

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  William Galvin: The 2013 IA 25 Extended Profile

  By Melanie Waddell, AdvisorOne  |  May 22, 2013

  Since taking on an additional 139 advisors with $6.6 billion in assets under the Dodd-Frank “switch,” Massachusetts has “been able to do what the Securities and Exchange Commission hasn’t.”

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  The 2013 IA 25: Advisor Advocates and Regulators

  By Editorial Staff  |  May 20, 2013

  Since the financial crisis, advisors have had to defend their businesses from wary consumers, overzealous legislators and sometimes even other advisors whose unscrupulous actions would cast good advisors in the same shadow as bad advisors.

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  The 2013 IA 25 Special Report

  By Editorial Staff  |  April 29, 2013

  With the 2013 IA 25, our 13th annual list of the most influential individuals in and around the advisor business, we decided to do something different.

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  Crossing Paths: The 2013 IA 25

  By Editorial Staff  |  April 29, 2013

  With Investment Advisor's 13th annual list of the most influential individuals in and around the advisor business, we decided to do something different.

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  State Regulator Blasts Arbitration Clause in RIA Contracts

  By Marlene Y. Satter, AdvisorOne  |  February 14, 2013

  The secretary of Massachusetts told the SEC on Wednesday to ban the use of mandatory pre-dispute arbitration clauses in the contracts of RIAs, saying that such clauses may not be in the best interests of clients.

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  Why Bachus’ SRO Bill Misses the Target

  By Jack Herstein, NASAA  |  June 1, 2012

  Bachus’ SRO bill would impose rigid exam standards on state regulators without corresponding standards on either the SEC or SROs.

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  Securities America Agrees to Settlement in Massachusetts

  By John Sullivan, AdvisorOne  |  May 24, 2011

  Securities America, Inc., charged last year with improper sales of Medical Capital Notes in Massachusetts, has agreed to make full restitution to 63 Bay State investors, Secretary of the Commonwealth William Galvin said Monday.

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  Why Shouldn't Investors' Best Interests Come First?

  By Kathleen McBride, AdvisorOne  |  February 28, 2010

  Are Senators strong enough--and do they have enough integrity--to stand up on behalf of retail investors and insist on extending the fiduciary standard to cover those who provide advice to retail investors?

• Advisors Buck Trend of Falling Results

  By Janet Levaux, AdvisorOne  |  March 1, 2008

  Some global investment firms are reporting sizeable net losses for the fourth quarter and full-year 2007 as a result of write-downs associated with U.S. collateralized...