Securities Division

Enforcement Actions

Secretary Galvin Fines LPL Financial $250,000 for Failure to Supervise the State's Senior Designation Rule
July 15, 2015

Secretary Galvin Charges Securities America in Failure to Supervise Ads Aimed at Seniors
July 8, 2015

Secretary Galvin Charges Waltham Man with Securities Fraud
June 30, 2015

Secretary Galvin in Conjunction with the State of Alabama Charges Alabama Group in Ponzi Scheme Fraud on Massachusetts Investor
June 10, 2015

Secretary Galvin Charges Uxbridge Man with Ponzi Scheme in Affinity Sale of Unregistered Securities
June 2, 2015

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
May 4, 2015

Secretary Galvin Settles Failure to Supervise Charge with Merrill Lynch for $2.5 Million
March 23, 2015

Secretary Galvin Charges Merrimack Valley Company and Principals in a Multi-Level Marketing Pyramid Scheme
October 22, 2014

Secretary Galvin Charges Newton Couple with Fraud in Real Estate Investments
October 8, 2014

Secretary Galvin Charges North Easton Man With Fraud In Elderly Relatives’ Account—Warns Investors Against Giving Access To Brokerage Accounts
October 1, 2014

Secretary Galvin Enters Settlement with Fidelity Co-operative Bank to Set up a $3.5 Million Fund for Massachusetts TelexFREE Victims
September 22, 2014

Secretary Galvin Charges Boston Company And Two Principals With Fraudulent Sale Of Real Estate Investments To Seniors
June 18, 2014

Secretary Galvin Charges Second Multi-Level Marketing Operation With Fraud In A Pyramid Scheme
May 15, 2014

Secretary Galvin Charges Marlboro Firm with Fraud in Multi-Level Marketing Scheme Targeting Brazilian-Americans
April 15, 2014

Secretary Galvin Charges Somerset Man in Securities Scam
February 7, 2014

Secretary Galvin Moves to Bar East Longmeadow Investment Adviser for Fraudulent and Unethical Business Practices
January 23, 2014

Secretary Galvin Moves Against Rogue Broker-Dealer
January 15, 2014

Secretary Galvin Orders Halt to Multi-level Marketing Operation that Targeted Massachusetts Brazilian Community
November 14, 2013

Secretary Galvin Fines Citigroup Unit $30 Million for Research Analyst Misconduct
October 2, 2013

Secretary Galvin Charges Peabody Man With Defrauding Senior Citizens
September 16, 2013

Secretary Galvin Settles With Five Independent Broker Dealers for Improper Sales of REITs - Returning Over $11 Million to Massachusetts Investors
May 22, 2013

Secretary Galvin Charges Malden Man in Affinity Fraud on Kenyan Community
March 25, 2013

Secretary Galvin Fines Deutsche Bank Securities $17.5 Million for Conflicts in Marketing Collateralized Debt Obligations
March 13, 2013

Secretary Galvin Orders LPL Financial to Return $2 Million to Investor Victims
February 6, 2013

Enforcement Actions Archives (2009-2012)

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