Securities Latest Updates

Secretary Galvin Charges Realty Capital Securites LLC with Proxy Voting Fraud and Seeks Revocation

Secretary Galvin Charges Fidelity Brokerage Services with Dishonest and Unethical Conduct Allowing Unregistered Investment Advisers to Conduct Business

Secretary Galvin Fines LPL Financial $250,000 for Failure to Supervise the State's Senior Designation Rule

Secretary Galvin Charges Securities America in Failure to Supervise Ads Aimed at Seniors

Secretary Galvin Charges Waltham Man with Securities Fraud

Secretary Galvin in Conjunction with the State of Alabama Charges Alabama Group in Ponzi Scheme Fraud on Massachusetts Investor

Secretary Galvin Charges Uxbridge Man with Ponzi Scheme in Affinity Sale of Unregistered Securities

Secretary Galvin Charges Plymouth Man and Firm for Acting as Unregistered Investment Advisers, Orders California Funds to Offer Refunds and Pay a Civil Penalty for Selling Unregistered Mortgage Loans

Secretary Galvin Settles Failure to Supervise Charge with Merrill Lynch for $2.5 Million

New Massachusetts Crowdfunding Regulation and Summary and Highlights

Secretary Galvin Charges Merrimack Valley Company and Principals in a Multi-Level Marketing Pyramid Scheme

Secretary Galvin Charges Newton Couple with Fraud in Real Estate Investments

Secretary Galvin Charges North Easton Man With Fraud In Elderly Relatives’ Account—Warns Investors Against Giving Access To Brokerage Accounts

Secretary Galvin Enters Settlement with Fidelity Co-operative Bank to Set up a $3.5 Million Fund for Massachusetts TelexFREE Victims

See the Securities Division page for more updates and enforcement actions...