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Securities Division
Enforcement Actions
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
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
Enforcement Actions Archives (2007-2011)
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News and Updates
Secretary Galvin Proposes New Regulations Related to Investment Adviser Representative Registration
Secretary Galvin Raps Schwab for Arbitration Changes; Warns Investors to Monitor Amendments to Their Arbitration Agreements
Report on Massachusetts Investment Advisers’ Use of Mandatory Pre-Dispute Arbitration Clauses
Secretary of the Commonwealth William F. Galvin Commends Mary Schapiro on her years as S.E.C. Chairman; Congratulates Commissioner Elisse Walter as New S.E.C. Chair (PDF)
Policy Statement Regarding Compliance with Bonding Requirements for Advisers with Discretion
Secretary Galvin Calls for Strong Rules on Crowdfunding (PDF)
Secretary Galvin Approves New Regulations (1/19/2012). Private Fund Exemption, Investment Adviser Discretion and Custody Requirements
The Massachusetts Securities Division Report on the Potential Impact of an SRO on Small State-Registered Advisers (PDF)
Massachusetts Securities Division Offers Guidelines on Investment Adviser Use of Social Media
(PDF)
Report on Massachusetts Registered Investment Advisers' Use of Social Media
2013 Investment Adviser and Investment Adviser Representative Registration Renewals
(PDF)
Policy Statement Regarding Changes to Part 2 of Form ADV
Standards for the Protection of Personal Information of Residents of the Commonwealth (PDF)
Secretary Galvin Warns of “Service Tax” Scam
Structured Products Guidance
(PDF)
Secretary Galvin Warns Against Phony IRS E-Mails; Issues Tips On Detecting ‘Phishing’ Scams
Notice of State-Registered Investment Advisers RE: Form ADV Part II
Notice of Fee Increases Effective August 7th, 2002
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