Texas
Get the latest news and insights on financial regulations, enforcement actions and litigation in Texas.
Ex-Broker Charged With Murdering Client May Also Face FINRA Sanctions
By Jeff BermanFINRA filed a complaint against the ex-broker, awaiting trial in prison, after he failed to cooperate with a fraud investigation.
February 01, 2021
States Move to Probe GameStop Trading, Brokerage IssuesTexas Attorney General Ken Paxton issues civil investigative demands to Robinhood, Interactive Brokers, TD Ameritrade, E-Trade and other firms.
January 22, 2021
Texas Broker Charged With Child Sexual Assault, IndecencySA Stone Wealth Management broker also was charged with an indecent assault on a female adult, according to court records.
January 06, 2021
50 States of Latest Government COVID-19 Pandemic Intensity DataIn five states, more than 44% of the available adult ICU beds are filled with patients with COVID-19.
December 08, 2020
LPL Eyes Midwest Base With Waddell & Reed DealThe broker-dealer also expects little to no repapering for W&R clients and that it will retain 70%-plus of W&R's 921 advisors.