InvestmentNews

InvestmentNews
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NEWS INDUSTRY NEWS SEP 29, 2017
SEC charges barred broker with masterminding $6 million real estate scam

Leonard Vincent Lombardo, who has been barred from the securities industry by Finra for about 20 years, allegedly defrauded 100 investors.

NEWS INDUSTRY NEWS SEP 28, 2017
H. Beck censured, fined $50,000 for unsuitable ETF trades

Letter of consent comes after firm paid $1.5 million in related arbitration case.

NEWS INDUSTRY NEWS SEP 27, 2017
Colorado indicts former LPL rep on securities fraud, theft charges

Sonya Camarco accused of diverting more than $850,000 from client accounts.

YOUR PRACTICE PRACTICE MANAGEMENT SEP 26, 2017
Finra bars former Morgan Stanley manager over expense reports

Barbara Waters oversaw administrators in firm's wealth management group.

YOUR PRACTICE FINTECH SEP 26, 2017
SEC creates cyber unit to eye firms and task force for investor protection

Initiatives aim to combat misconduct by financial firms online and fraud perpetrated against clients.

NEWS INDUSTRY NEWS SEP 26, 2017
Finra awards $1.5 million to victims of broker fraud

Barred Michigan rep Christopher Tolmacs 'pocketed' money for funds.

NEWS RIAS SEP 25, 2017
Cybersecurity weaknesses worry state RIA regulators

More than 698 deficiencies found in 1,200 exams, says NASAA.

NEWS RIAS SEP 25, 2017
SEC says Colorado RIA lied about experience and past performance

Michael Moses falsely claimed 24% returns, and lost most of clients' money.

NEWS INDUSTRY NEWS SEP 25, 2017
Finra sanctions Morgan Stanley over UIT sales

The firm will pay $13 million in fines and restitution for failure to supervise.

RETIREMENT RETIREMENT PLANNING SEP 22, 2017
University of Pennsylvania wins retirement plan suit

Ivy League school is first elite university to win complete dismissal of such a lawsuit.