Securities: Enforcment Action Archives

2012

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Secretary Galvin Fines Morgan Stanley $5 Million for Investment Banking’s Improper Influence Over Analysts in the Facebook IPO
December 17, 2012

Secretary Galvin Fines Citigroup Unit $2 Million for Research Analysts' Improper Disclosures of Material Nonpublic Information Including the Facebook IPO
October 26, 2012

Secretary Galvin Charges Putnam Advisory With Fraud For Its Role In Two Mortgage-Backed CDOs
October 17, 2012

Secretary Galvin Charges Lowell Man in Crowdfunding Fraud
August 9, 2012

Secretary Galvin Charges Foxboro Man With Defrauding Senior Citizens With Bogus Investment Schemes
July 31, 2012

Secretary Galvin Charges Belmont Man In $10.4 Million Ponzi Scheme
July 24, 2012

Secretary Galvin Charges Beverly Agent in Connection with Theft of Firm Assets
June 20, 2012

Secretary Galvin Charges Chelsea Man In Million-Dollar Investor Loss
June 12, 2012

Broker-Dealer Cited for Not Supervising Rogue Broker to Prevent Elder Financial Abuse; Elderly Woman’s Estate to Recover More Than $1 Million
May 17, 2012

Royal Bank of Canada Subsidiary agrees to $2.9 Million restitution to MA investors who purchased inverse leveraged exchage traded funds
May 2, 2012

Secretary Galvin Charges Grafton Investment Adviser Representative with Unregistered Activity
March 28, 2012

Secretary Galvin Charges Western Massachusetts Wind Power Company with Selling Unregistered Securities; Warns that the Current Crowdfunding Legislation Must Not Preempt the States
March 20, 2012

Secretary Galvin Fines State Street Global Advisors $5 Million For Role In Mortgage-Backed CDO
February 28, 2012