Massachusetts
Get the latest news and insights on financial regulations, enforcement actions and litigation in Massachusetts.
SEC Bars Ex-LPL Rep Who Pleaded Guilty to Witness Tampering
By Jeff BermanFINRA already barred the ex-broker, who also pleaded guilty to fraud and identity theft last year.
October 27, 2022
3 State Insurance Ballot Measures to WatchOne could lead to some clients getting dental insurance premium refunds.
October 21, 2022
Advisor Who Tried to Flee Prosecution Pleads Guilty to Defrauding ClientsSteven Xigoros was arrested at the Newark airport while trying to board a flight to Greece in September.
September 19, 2022
10 States With the Highest Super Earner CutoffsTo rank in the top 5%, households in these states had to make a minimum of $465,000.
September 09, 2022
Ex-LPL Rep Pleads Guilty to Witness Tampering, FraudThe barred broker pleaded guilty to fraud and identity theft last year but scrapped the plea deal.
August 18, 2022
Galvin Launches Sweep of Single-Stock ETFsMassachusetts Securities Division's sweep of three broker-dealers focuses on the issuance of single-stock ETFs to retail investors.
August 17, 2022
MassMutual BD Fined $250K, Ex-Broker Barred for FraudRegulators in Massachusetts say MLS Investment Services failed to supervise Charles Evan, who pressured clients into buying unsuitable insurance products.
July 06, 2022
Vanguard to Pay $6.25M Over TDF Tax Bills in MassachusettsA massive cut to investment minimums for institutional shares left small investors with a huge tax liability.