• Puerto Rico Misses Bond Payment; Half of US Open-End Muni Funds Exposed to Puerto Rico Debt
  • SEC Charges H.D. Vest Investment Services With Supervisory Failures Related to Registered Reps’ Outside Business Activities
  • Recording Shows UBS Pressured Doubtful Brokers to Sell High Risk Puerto Rico Funds
  • SEC Charges Oppenheimer With Securities Law Violations Related to Improper Penny Stock Sales
  • SEC Charges Elm Tree Investment Adviser and Manager in Fort Lauderdale, Florida-Based Fraud
  • FINRA Cautions Investors Regarding E-Cigarette Stock Scams