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Massachusetts forms Fintech Advisory Group

PROVIDENCE – Mass. Secretary of the Commonwealth William F. Galvin’s office has formed the Fintech Advisory Group to support and receive advice from so-called...
A RHODE ISLAND INVESTMENT ADVISER has been charged with breaching his fiduciary duty by Mass. Secretary of the Commonwealth William F. Galvin's office in a case involving a couple who lost nearly $60,000. /COURTESY MASS. SECRETARY OF THE COMMONWEALTH

R.I. investment adviser accused of breaching fiduciary duty

PROVIDENCE – A Rhode Island investment adviser is in trouble with authorities in Massachusetts for a transaction that allegedly cost a couple nearly $60,000.The...

Galvin reaches $1 million settlement with MetLife for Mass. pensioners

PROVIDENCE – Insurance giant MetLife Inc. has agreed to pay $1 million and other costs to settle allegations that the company wrongly designated hundreds...

Galvin announces ‘landmark settlement’ with coin offering issuer AirFox

PROVIDENCE – Mass. Secretary of the Commonwealth William F. Galvin has reached a “landmark settlement” with Boston-based initial coin offering issuer AirFox.AirFox agreed to...

Investment firm agrees to fine and censure over sales of real...

PROVIDENCE – An investment firm owned by Boston-based LPL Financial LLC has agreed with Massachusetts securities regulators to pay a $50,000 fine for its...

Mass. securities broker fined $15K, banned after losing client’s money

PROVIDENCE – Robert S. Graham, a securities broker-dealer, has been fined $15,000 and permanently barred from registering in Massachusetts, according to a recent consent...
SECRETARY OF THE COMMONWEALTH William F. Galvin said the SEC’s new rules of conduct for securities broker-dealers should be more stringent, like those for investment advisers. / COURTESY MASS. SECRETARY OF THE COMMONWEALTH

Groups, officials weigh in on SEC-proposed standard of conduct for broker-dealers

PROVIDENCE – Numerous groups and officials weighed in last week on the U.S. Securities and Exchange Commission’s Regulation Best Interest proposal that sets a...

Easton investment adviser charged with misleading customers

PROVIDENCE – Investment adviser Alan P. Siegel of Easton in Bristol County, Mass., has been charged with spreading false information on his website to...
THE METLIFE BUILDING, home of the MetLife Inc. headquarters, stands in New York. The company was the target of a complaint filed Monday by Mass. Secretary of the Commonwealth William F. Galvin, charging MetLife with failing to make pension payments to hundreds of Massachusetts retirees. / BLOOMBERG FILE PHOTO/DANIEL ACKER

Galvin charges MetLife with fraud over failed pension payments

PROVIDENCE – Mass. Secretary of the Commonwealth William F. Galvin filed a complaint Monday charging financial-services giant MetLife Inc. with failing to make payments to hundreds...
WILLIAM F. GALVIN, secretary of the commonwealth, has urged the federal government to appeal the Fifth Circuit U.S. Court of Appeals recent ruling against the so-called "fiduciary rule" created by the U.S. Department of Labor. / COURTESY MASSACHUSETTS SECRETARY OF THE COMMONWEALTH

Galvin slams court’s decision on fiduciary rule

PROVIDENCE – William F. Galvin, secretary of the commonwealth, last week slammed a court decision to strike down the so-called “fiduciary rule” and urged...
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