Month: January 2017

PIMCO Agrees To Pay $20 Million For Misleading Bond Investors

By Erwin J. Shustak — posted in Investor Claims & Financial Fraud on Wednesday, January 25, 2017.

Investor Protection

The Securities and Exchange Commission (“SEC”) announced that PIMCO will pay [...]

FORMER INVESTMENT ADVISOR STEALS FROM INVESTORS IN PONZI SCHEME

By Erwin J. Shustak — posted in Investment Advisers & Private Funds, Investor Claims & Financial Fraud on Wednesday, January 18, 2017.

Investment Advisers Ponzi Schemes

Massachusetts charged a former financial adviser, Stephen S. Eubanks, with [...]

FINRA Announces Exam Priorities for 2017

By George C. Miller — posted in Securities Regulation & Compliance on Friday, January 6, 2017.

FINRA Regulatory Examinations

Last week, the Securities and Exchange Commission revoked [...]