Securities Latest Updates

Secretary Galvin Charges Marlboro Firm with Fraud in Multi-Level Marketing Scheme Targeting Brazilian-Americans

Secretary Galvin Charges Somerset Man in Securities Scam

Secretary Galvin Moves to Bar East Longmeadow Investment Adviser for Fraudulent and Unethical Business Practices

Secretary Galvin Moves Against Rogue Broker-Dealer

New CORI Requirements for Investment Adviser Representative Applications

Crowdfunding: Tips to Help Get You Ready for Equity Crowdfunding (PDF)

Secretary Galvin Orders Halt to Multi-level Marketing Operation that Targeted Massachusetts Brazilian Community

Switch Investment Advisers Report (PDF)

Massachusetts-Registered Investment Adviser Compliance with Custody and Independent Verification Requirements (November 14, 2013) (PDF)

Secretary Galvin Fines Citigroup Unit $30 Million for Research Analyst Misconduct

Secretary Galvin Charges Peabody Man With Defrauding Senior Citizens

Secretary Galvin Urges SEC to Insist on Fiduciary Standards for Broker-Dealers – Releases Survey Results of MA IAs’ Overwhelming Disapproval for Change in Fiduciary Standard

Secretary Galvin Settles With Five Independent Broker Dealers for Improper Sales of REITs - Returning Over $11 Million to Massachusetts Investors

Secretary Galvin Charges Malden Man In Affinity Fraud On Kenyan Community

Secretary Galvin Fines Deutsche Bank Securities $17.5 Million for Conflicts in Marketing Collateralized Debt Obligations

Secretary Galvin Orders LPL Financial to Return $2 Million to Investor Victims

Secretary Galvin Fines Morgan Stanley $5 Million for Investment Banking’s Improper Influence Over Analysts in the Facebook IPO

Secretary Galvin Fines Citigroup Unit $2 Million for Research Analysts’ Improper Disclosures of Material Nonpublic Information Including the Facebook IPO