Massachusetts
Get the latest news and insights on financial regulations, enforcement actions and litigation in Massachusetts.
May 27, 2021
Judge Leaves Fate of Mass. Fiduciary Rule Unclear in Robinhood CaseBut the judge allowed the state's case against the brokerage to proceed.
April 16, 2021
Robinhood Sues to Kill Fiduciary Rule in MassachusettsThe state said on Thursday it would seek to revoke Robinhood's license, according to Robinhood.
February 10, 2021
'Roaring Kitty' Ordered to Testify in MassachusettsEx-MassMutual rep Gill is supposed to testify Feb. 26 before the Securities Division in Boston.
February 04, 2021
MassMutual Under Investigation Over 'Roaring Kitty'Massachusetts regulators are "looking into whether or not MassMutual should have been aware" of its ex-advisor's activities.
January 29, 2021
'Roaring Kitty' Who's Pushing GameStop Is a Financial AdvisorThe former MassMutual rep played a key role in driving retail investors to pile into the game retailer's stock.
December 17, 2020
SEC Fines Robinhood $65M for Misleading Investors, Best Execution FailuresThe fine comes a day after Massachusetts regulators charged the brokerage over its marketing practices.
December 16, 2020
Robinhood Slammed for Marketing Tactics, Outages in State Fiduciary Rule CaseThe state also cited Robinhood's high rate of approval of options trading for inexperienced investors. The firm denies the charges.
August 31, 2020
As Mass. Starts Enforcing Fiduciary Rule, Galvin Puts His Game Face On"If challenged, my office is ready to defend this rule to the full extent of the law," Galvin told ThinkAdvisor.