Stockbroker Misconduct and Investment Fraud Blog

FINRA Warns Investors About Alternative Funds

The Financial Industry Regulatory Authority (FINRA) recently issued a warning to investors about alternative or “alt” mutual funds. Such funds use investment strategies that differ from mutual funds’ typical buy-and-hold...

SEC Seeks Admissions of Fault

The Securities and Exchange Commission (“SEC”) announced that it may change the way it permits banks, brokerage firms, and others to settle civil charges that the SEC has brought against them. Historically, the SEC has not required...