Tag: William Galvin
Mass. regulators investigating Citizens Securities over sale of CBL annuities
PROVIDENCE – A Citizens Financial Group Inc. subsidiary is under investigation by Massachusetts securities regulators regarding its sale of annuities controlled by now-indicted financier...
Mass. voters weighing stark choice for governor, millionaires tax
BOSTON (AP) – Massachusetts voters are weighing starkly different candidates for governor as they cast their ballots.
The election pits Democrat Maura Healey, who would...
Trump-backed Diehl to take on Healey in Mass. governor race
BOSTON (AP) – Geoff Diehl, a former state representative endorsed by former President Donald Trump, has won the Republican nomination for Massachusetts governor over...
Baker administration estimates vaping ban costing stores up to $8M in...
PROVIDENCE – A three-month ban on retail nicotine and marijuana vaping products in Massachusetts has the potential to cost private businesses $7 million to...
R.I. man charged with defrauding investors in Ponzi scheme
PROVIDENCE – David Wagner of East Greenwich and Downing Partners LLC and its subsidiaries have been charged with defrauding investors out of millions of dollars.
Separate...
Firm reaches settlement, buy-back plan for illegal sale of securities
PROVIDENCE – The financial services firm LPL Financial LLC has agreed to pay a settlement of $26 million for illegally selling unregistered, nonexempt securities...