Securities Latest Updates

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 Raps Schwab for Arbitration Changes; Warns Investors to Monitor Amendments to Their Arbitration Agreements

Report on Massachusetts Investment Advisers’ Use of Mandatory Pre-Dispute Arbitration Clauses

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

Secretary Galvin Charges Putnam Advisory With Fraud For Its Role In Two Mortgage-Backed CDOs