Securities Division

Enforcement Actions

Secretary Galvin Charges Citizens Securities in Improper Sales to Elder Citizens Bank Customer
January 7, 2016

Secretary Galvin Charges Realty Capital Securites LLC with Proxy Voting Fraud and Seeks Revocation
November 12, 2015

Secretary Galvin Charges Fidelity Brokerage Services with Dishonest and Unethical Conduct Allowing Unregistered Investment Advisers to Conduct Business
October 26, 2015

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

Enforcement Actions Archives (2009-2013)

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