Stories by James O'Connell
Regulation · 12h ago
Inspired Healthcare asset sale yields $713M, 59% of $1.2B raised from investors
Regulation · 12h ago
Webull faces class action over alleged China ties and misleading SEC filings
Regulation · 12h ago
Netcapital faces class action over alleged $14M revenue inflation
Regulation · 1d ago
SEC accuses Encinitas advisor of steering winning trades to himself
Regulation · 1d ago
Pension fund suit claims Duolingo hid user-growth damage from monetization push
Regulation · 1d ago
Lawsuit: Blockware's Bitcoin mining contracts were unregistered securities
Regulation · 1d ago
SEC warns index giants on 13G status after Exxon probe
Regulation · 2d ago
Ex-Western Asset bond manager Kenneth Leech fined $3M by SEC for cherry-picking
Regulation · 2d ago
California Court Limits Employer Liability in Wells Fargo Harassment Case
Regulation · Oct 5
FINRA panel orders Seattle advisor to pay $450,000 in client dispute
Regulation · Oct 5
Coastal Financial faces securities suit over $68.8M fintech credit loss
Regulation · Oct 5
SEC alleges ex-CEO of Global Tech issued 32M shares to family in sham deals
Regulation · Oct 2
Merrill Lynch to pay $39M to settle cash sweep class action, adding to $25M SEC penalty
Regulation · Oct 2
SEC suit: Meyer Global misused $1.27M from SpaceX, OpenAI fund investors
Regulation · Oct 1
SEC's private market access push brings compliance burden for alts managers
Regulation · Oct 1
SEC bars New York advisor who misappropriated $2.4M from elderly client
Regulation · Oct 1
SEC alleges crypto AI platform defrauded 300 investors of $12.5M via fake filings
Regulation · Oct 1
Third Circuit kills 30-year stock-rebound rule in securities fraud cases
Regulation · Sep 30
Stifel pays $30M to settle latest claims tied to barred broker Chuck Roberts
Regulation · Sep 30
SEC proposes CFP, CFA, CPA paths to accredited investor status and new fund rules
Regulation · Sep 30
Court denies summary judgment in captive insurer tax dispute over $239,773 deductions
Regulation · Sep 30
Court blocks NYC pied-à-terre tax rollout, orders new property list
Regulation · Sep 29
Retiring RIA Partner Sues Carnegie Investment Counsel Over Valuation Dispute
Regulation · Sep 29
SEC alleges $4.5M affinity fraud in merchant cash advance scheme
Regulation · Sep 29
FINRA bars ex-LPL advisor for diverting $1.73M from clients
Regulation · Sep 29
IRS Notice 2026-62 Targets 351 ETF Conversions, Box Spreads, and Tax-Aware Trades
Regulation · Sep 29
UBS can pursue Highland Capital founder over $1B unpaid judgments
Regulation · Sep 28
Zoe Financial to pay $450K SEC fine for referral conflicts
Regulation · Sep 28
Senate NIL bill vote could set federal pay rules for college athletes
Regulation · Sep 28
SEC alleges Georgia trucking operator ran $127M Ponzi scheme
Regulation · Sep 28
Warren presses Big Tech on AI tax breaks under 2025 law
Regulation · Sep 25
CFTC alleges $950M forex Ponzi scheme with fabricated trading returns
Regulation · Sep 25
Court blocks seizure of ex-advisor's $5.1M despite $364M restitution
Regulation · Sep 25
Warren's revived PE bill targets carried interest, fund liability
Regulation · Sep 24
Arbitrators order Ameriprise and ex-advisor to pay Edward Jones $4.7M
Regulation · Sep 24
SEC accuses West Palm Beach operator of fabricating returns in $750K police pension scam
Regulation · Sep 24
Vanguard fined $950,000 by FINRA for decade-long cost basis errors
Regulation · Sep 23
Principal Financial sued over $4.59B in-house 401(k) funds
Regulation · Sep 23
SEC revokes Grenda Group's registration over concealed industry bar
Regulation · Sep 23
SEC shuts Navellier & Associates, bars founder over fabricated strategy returns
Regulation · Sep 23
CFTC tightens scrutiny on 'mention market' event contracts tied to individual actions
Regulation · Sep 22
Texas regulator drops fraud claims against Lasater RE Fund after repayment pledge
Regulation · Sep 22
SEC sues Wavemark Capital over $9.6M mobile home investment fraud
Regulation · Sep 21
FINRA panel awards $4.5M to teachers over Schwab structured product claims
Regulation · Sep 18
Texas advisor gets 11 years for $35M Ponzi scheme that ensnared NFL star
Regulation · Sep 17
California Advisor Sentenced to Nine Years in $9.5M Ponzi Scheme
Regulation · Sep 16
House passes bill to let fraud victims deduct losses, waive retirement withdrawal penalties
Regulation · Sep 16
Ex-Morgan Stanley advisor Eric Kleiner faces $1.9M in client claims after firing
Regulation · Sep 15
Deceased Texas advisor's estate faces $865K in claims tied to LPL sales
Regulation · Sep 14
SEC alleges $16M Ponzi scheme targeting Ghanaian Christians in N.J.
Regulation · Sep 11
FINRA panel orders Schwab to pay $1.34M over crypto scam wires from elderly client's trust
Regulation · Sep 4
Treasury proposes ending tax-exempt status for private schools with race-based policies
Regulation · Sep 4
SEC proposes ending pay-to-play rule for investment advisers
Regulation · Sep 3
Altruist sales VP surfaced in settled Vanguard Just Invest suit
Regulation · Sep 3
Linqto's founder and ex-CEO face federal fraud charges over $450M scheme
Regulation · Sep 3
Investor suit claims pre-IPO fund hid markups, locked portal
Regulation · Sep 3
ADMA shareholder suit alleges channel stuffing, hidden related-party distributor
Regulation · Sep 2
Bankruptcy Court Halts Investor Arbitrations Against Broker-Dealers in Inspired Healthcare Collapse
Regulation · Sep 2
SEC says California fund managers misused $80M in real estate loan scheme
Regulation · Sep 2