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| About site: Government/Finance/Regulators/United States - Massachusetts Securities Division |
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| About site: http://www.state.ma.us/sec/sct/ |
Title: Government/Finance/Regulators/United States - Massachusetts Securities Division Divided into sub-divisions of: Enforcement; Corporate Finance; and Licensing and Registration.
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Massachusetts Securities Division
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Secretary Galvin Charges
Two Unregistered Western Massachusetts Advisers
in Separate Actions
Fidelity Agrees to Buy Back
Auction Rate Securities
(PDF, 434KB)
Secretary Galvin Charges Merrill Lynch with Fraud in Auction Rate Securities Dealings
Secretary Galvin Charges UBS with Fraud in Auction Rate Securities Dealings
Secretary Galvin Charges
Plymouth Man with
Investor Fraud
Secretary Galvin Warns
of “Service Tax” Scam
Secretary Galvin Charges Sudbury Man With
Investor Fraud
Secretary Galvin Moves
Against Hedge Fund
Operator
Secretary Galvin Charges Merrill Lynch in
Connection with the
Sales of Unsuitable CDOs
to the City of Springfield
Secretary Galvin Files Complaint Against Cantella and Co., Inc. Regarding Structured Products
Secretary Galvin
Charges A.G. Edwards for Misconduct of a Broker
Who Preyed on Retirees
Secretary Galvin Charges Bear Stearns with Improper Trading with its Two Failed Hedge Funds
Secretary Galvin Warns Against Phony IRS E-Mails; Issues Tips On Detecting ‘Phishing’ Scams
Secretary Galvin Charges
Morgan Stanley and
Three Employees With Violating
Do-Not-Call Laws
Secretary Galvin
Charges Two
Annuity Salesmen with
Investment Fraud
Against Seniors
Secretary Galvin
Charges Two Agents
and a Broker-Dealer with
Dishonest and Unethical Marketing to Seniors
Secretary Galvin
Charges UBS with
Violations
in Hedge Fund Hotel Case
Secretary Galvin Charges
Thomas McKenna
and Sales Fusion, Inc
with Acting as an Unregistered Broker-Dealer
Secretary Galvin Charges
Winthrop Man with
Fraud in Schemes
Targeting the Elderly
Secretary Galvin
Charges Hedge
Fund Manager with Fraud
Secretary Galvin
Charges Norwood Man
With
Fraud in
Greek Community
Secretary Galvin Files
New Regulations on
Senior Financial Designations as Well
as Written Administrative Record Supporting Regulations
Secretary Galvin
Charges Phillip Goldstein and Bulldog Investors
for unregistered
securities offering
Secretary Galvin Shuts
Down Unregistered Investment Advisor;
Seeks Recovery of Funds
Secretary Galvin
Files Against
Pump and Dump Operator
What You Need to Know
About 529 College
Savings Plans
Investing Online
Resource Center
Citizen
Information Service
Corporations
Division
New Regulations Regarding Senior Designations
New Regulations
Administrative Record (PDF, 2.2MB)
Orders Recognizing Accreditation Organizations (PDF, 48KB)
Frequently Asked Questions
General Information:
New York Times June 29, 2008 article on Secretary Galvin's charges against UBS
Secretary Galvin Warns
of “Service Tax” Scam
Structured Products Guidance (PDF, 88kb)
2008 Investment Adviser and Investment
Adviser Representative Registration Renewals
Secretary Galvin Warns Against Phony IRS E-Mails; Issues Tips On Detecting ‘Phishing’ Scams
Notice to State-Registered
Investment Advisers RE: Form ADV Part II
About
the Securities Division
Notice
of Fee Increases
Effective August 7th, 2002
Sub-Divisions:
Enforcement
Enforcement Section Overview
Internet Securities Fraud
Corporate Finance
Overview
Fee Schedule
FAQs
Statutes and Regulations
Forms and Information
Licensing and Registration
Overview
Licensing Fees
Broker-Dealer Registration
Agent Registration
Investment Adviser Registration
Investment Adviser Rep. Registration
Notice of Filing for Federal Covered Advisers
FAQs
Forms
Investor Education
Education Brochures
Education
Financial 2010
529 College Plans
Next Investor
Education Presentation
Group:
Kingston Council on Aging
Address:
33 Summer Street, #A
Kingston, MA 02364
Date/Time:
Thursday, October 16, 2008 at 11:00 a.m.
Topic:
Current Topics in Investment Fraud Avoidance and Financial Awareness
Contact:
Secretary Galvin’s Securities Division at
(617) 727-3548
Other Topics:
Policy Statements
Suspected
Terrorist List
New Privacy
Requirements for State Registered Investment Adviser
Firms
Secretary
Galvin and the New England Pension Assistance Project
initiate new program
Statutes
and Regulations
Uniform
Forms
Tips
for Mutual Fund Filers
Frequently
Asked Questions
Online
Investor Complaint Form
Securities
Links
Enforcement Actions:
Secretary Galvin Charges
Two Unregistered Western Massachusetts Advisers
in Separate Actions
Secretary Galvin Charges Merrill Lynch with Fraud in Auction Rate Securities Dealings
Secretary Galvin Charges UBS with Fraud in Auction Rate Securities Dealings
Secretary Galvin Charges
Plymouth Man with Investor Fraud
Secretary Galvin Charges Sudbury Man With Investor Fraud
Secretary Galvin Moves
Against Hedge Fund Operator
Secretary Galvin Charges
Merrill Lynch in
Connection with the
Sales of Unsuitable CDOs
to the City of Springfield
Secretary Galvin Charges
A.G. Edwards for Misconduct
of a Broker Who Preyed on Retirees
Secretary Galvin Charges Bear Stearns with Improper Trading with its Two Failed Hedge Funds
Secretary Galvin's Settlement with ING Financial Partners, Inc. in Affinity Fraud Case Returns Over $1,000,000 to Massachusetts Investors
Secretary Galvin Charges
Morgan Stanley and
Three Employees With Violating
Do-Not-Call Laws
Secretary Galvin Charges Two
Annuity Salesmen with
Investment Fraud Against Seniors
Secretary Galvin
Charges UBS with
Violations
in Hedge Fund Hotel Case
Secretary Galvin Charges
Thomas McKenna and
Sales Fusion, Inc with Acting
as an Unregistered Broker-Dealer
Secretary Galvin Charges
Winthrop Man with
Fraud in Schemes
Targeting the Elderly
Secretary Galvin Charges Hedge
Fund Manager with Fraud
Secretary Galvin Charges Norwood Man With
Fraud in Greek Community
Secretary Galvin Charges Two Agents and a Broker-Dealer with Dishonest and Unethical Marketing to Seniors
Secretary Galvin Charges Phillip Goldstein and Bulldog Investors for unregistered securities offering
Secretary Galvin Fines ICC $500,000; Firm will Offer Seniors Free Surrender of Equity-Indexed Annuities
Secretary Galvin Settles with Ameriprise Over Lost Laptop
Secretary Galvin Shuts Down Unregistered Investment Advisor; Seeks Recovery of Funds
Secretary Galvin Files Against
Pump and Dump Operator
Secretary Galvin Files Complaint Against Cemetery Association
Secretary Galvin seeks to revoke licenses of three brokers; charges their firms with failure to supervise
Secretary Galvin charges broker with fraud on elderly couple and Oppenheimer & Co. with failure to supervise
Secretary Galvin Charges Convicted Felon of Acting as Unregistered Investment Advisor Orders a Cease and Desist
Secretary Galvin Charges Hedge Fund and Advisor with Unregistered Activity and Orders Cease and Desist
Secretary Galvin Files Against Two Oil and Gas Offerings, Warns Investors of Potential Energy Crisis Scams
Secretary Galvin settles with
Citizens over unsuitable sales of
variable annuities to Seniors and
failure to retain e-mails.
Secretary Galvin reaches
Agreement with Bank of America
on Variable Annuities
Secretary Galvin releases
expert report on the Fairness
Opinions issued in connection with
Gillette-Procter Gamble merge
Secretary Galvin files against
A.G. Edwards & Sons, Inc.
for fraudulent
market timing activity
Franklin Settles Administrative Complaint Filed by Secretary Galvin
Secretary Galvin Files
Complaint Against Franklin Templeton
Secretary Galvin Enters
Into Settlement With Putnam
Enforcement Actions Archive
Prudential Securities, Inc.
Morgan Stanley
Hedge Funds Sweep
Elder Alert: Annuities
Franklin Templeton
Putnam
Cantella Securities, Inc.
RJL Int'l Ltd. and Phoenix Capital
Oil and Gas Offerings
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Divided | into | sub-divisions | of: | Enforcement; | Corporate | Finance; | and | Licensing | and | Registration. |
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http://www.state.ma.us/sec/sct/
Massachusetts Securities Division 2008 October
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Divided into sub-divisions of: Enforcement; Corporate Finance; and Licensing and Registration.
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