Securities Latest Updates

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