Search for: "Matter of Galvin"
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25 Mar 2022, 12:16 pm
Galvin, Secretary of the Commonwealth (Decision/Order)SEC Division of Examinations Announces 2022 Examination Priorities / Enhances Focus on Private Funds, ESG, and Operational ResiliencySEC Holds Fidelity Transfer Services In Default and Orders Cease-and-Desist (No -- not "that" Fidelity but apparently another Fidelity)In the Matter of Fidelity ... [read post]
16 May 2007, 6:37 pm
Galvin said. [read post]
17 Jun 2016, 12:52 pm
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
9 Jul 2015, 8:13 am
Galvin, the secretary of the commonwealth, has reportedly filed a separate complaint against Barry Armstrong. [read post]
2 Jul 2019, 1:09 pm
While unregistered, the LPL brokers engaged in the following in Massachusetts: Provided securities advice Solicited securities transactions Supervised agents Engaged in securities transactions Galvin’s office is also accusing LPL Financial of not reporting in a timely manner almost 800 reportable events, including multiple regulatory actions, over 100 customer complaints, 12 criminal complaints, and other matters. [read post]
27 May 2015, 12:02 pm
Galvin, the SEC rule was vague in its definition of the kind of investor who qualifies to purchase the small offerings. [read post]
4 Jun 2012, 12:19 pm
The top securities regulator for Massachusetts, William Galvin, said he had subpoenaed Morgan Stanley. [read post]
1 Apr 2022, 5:47 pm
Galvin was given thirty days to appeal. [read post]
19 Jul 2011, 8:41 am
(Tom Galvin) Everyday, we are reminded that no matter how noble, smart and well-managed a company is, sooner or later it’s going to find itself under the glare of intense scrutiny. [read post]
18 Sep 2007, 5:29 am
Per Galvin v. [read post]
19 Jul 2011, 8:41 am
(Tom Galvin) Everyday, we are reminded that no matter how noble, smart and well-managed a company is, sooner or later it’s going to find itself under the glare of intense scrutiny. [read post]
29 Oct 2015, 7:18 am
That discretion did not create a license to impose no qualifications on purchasers at all, the state commissioners contended.In their opening brief, Galvin and Lindeen had cited Justice Scalia’s observation that “[i]t does not matter whether the word ‘yellow’ is ambiguous when the agency has interpreted it to mean ‘purple. [read post]
4 Jun 2012, 12:19 pm
The top securities regulator for Massachusetts, William Galvin, said he had subpoenaed Morgan Stanley. [read post]
1 Apr 2009, 10:14 am
The administrative complaint In The Matter of Fairfield Greenwich Advisors LLC and Fairfield Greenwich (Bermuda) Ltd., Docket 2009-0028, filed today in Massachusetts, is the topic of this "Asset Search Roundup". [read post]
29 Jan 2021, 8:04 am
"That has to be addressed immediately," Galvin said.Robinhood suit. [read post]
9 Dec 2008, 10:04 pm
Frank Galvin should have been permanently disbarred for his long history of neglecting client matters in favor of the flask. [read post]
26 Aug 2008, 2:53 pm
Reports indicate that state and federal regulators are now turning their attention to Fidelity's and Schwab's participation in the Auction Rate Securities (ARS) market.Massachusetts Secretary of State William Galvin reportedly sent a letter to Fidelity recently asking it to "take immediate steps to resolve this matter on behalf of [Fidelity's ARS] customers. [read post]
19 Jan 2011, 6:55 am
First up is Secretary of State William Galvin, with a proposed bill to require all foreclosure cases to go through a Massachusetts state court judge before being valid. [read post]
4 May 2023, 7:46 am
To resolve the matter, Stifel was ordered to pay a fine of $100,000, reimburse one customer $133,907.84, and offer other harmed customers remuneration.Failure to Supervise – Stifel Nicolaus & Company All broker-dealers have a responsibility to adequately supervise its employees. [read post]
8 Mar 2019, 7:34 am
Galvin is also involved in investigations concerning GPB Capital. [read post]
