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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...
SECRETARY OF THE COMMONWEALTH William F. Galvin says his office is investigating Wells Fargo Advisors to determine whether the company gave its customers inappropriate financial advice. / COURTESY MASSACHUSETTS SECRETARY OF THE COMMONWEALTH

Massachusetts opens investigation into Wells Fargo Advisors

PROVIDENCE – Massachusetts officials have opened an investigation into Wells Fargo Advisors to determine whether the company gave customers inappropriate financial advice.William F. Galvin,...
SECRETARY OF THE COMMONWEALTH William F. Galvin has sent letters to hundreds of MetLife Inc. retirees informing them they are owed pension payments, following a December investigation into the company. / COURTESY MASSACHUSETTS SECRETARY OF THE COMMONWEALTH

Mass. notifies hundreds of MetLife retirees about owed pension payments

PROVIDENCE – Massachusetts has sent hundreds of letters to retirees of MetLife Inc., telling them they are owed pension payments.Secretary of the Commonwealth William...
WILLIAM F. GALVIN, Massachusetts secretary of the commonwealth, is taking a hard stance on policing initial coin offerings in the state, as the system for raising funds through the sale of tradable digital coins has become a target for scam artists. / COURTESY MASSACHUSETTS SECRETARY OF THE COMMONWEALTH

Galvin takes hard stance on initial coin offerings in Massachusetts

PROVIDENCE – Massachusetts regulators are taking a hard stance on the policing of initial coin offerings in the Bay State.William F. Galvin, secretary of...
WILLIAM F. GALVIN, Massachusetts secretary of the commonwealth, has launched an investigation into broker-dealer sales practices that could be harmful to customers. /COURTESY MASSACHUSETTS SECRETARY OF THE COMMONWEALTH

Galvin investigates broker-dealer sales practices in Massachusetts

BOSTON – Massachusetts has launched an investigation into broker-dealer sales practices that could be harmful to customers.William F. Galvin, secretary of the commonwealth, has...
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