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>> SEC Latest News

1 HOUR AGO - Business Insider

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A California man used investor money to pay off his gambling debts

FA Insights is a daily newsletter from Business Insider that delivers the top news and commentary for financial advisors. Unregistered broker used client money to pay gambling debts (Financial Advisor) Gregory Ruehle, an unregistered broker based in Oceanside, California, was charged by the Securities and Exchange Commission with "fraudulently selling purported stock in a medical device company and pocketing investors’ ...

Tags: A California man used investor money to pay off his gambling debts,  Sec Latest News

2 HOURS AGO - Investors Business Daily

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Visa Investment-Size Disclosure Sends Square Stock Rising

Square stock gapped up Friday after an SEC filing revealed details of a Visa investment in Square dating back to 2011.

Tags: Visa Investment-Size Disclosure Sends Square Stock Rising,  Sec Latest News

5 HOURS AGO - Financial Planning magazine

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One Lifetime Ban is Not Enough for the SEC

The commission's barring of one advisor follows similar action by state authorities, indicating that regulators are coordinating their enforcement activities.

Tags: One Lifetime Ban is Not Enough for the SEC,  Sec Latest News

6 HOURS AGO - Benzinga

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RBC On Boeing: Is The Emperor Naked?

Shares of Boeing Co (NYSE: BA) tumbled on Thursday following reports that the company faces an SEC investigation. Latest Ratings for BA DateFirmActionFromTo Feb 2016JP MorganDowngradesOverweightNeutral Feb 2016RBC CapitalMaintainsSector Perform Jan 2016Canaccord GenuityMaintainsBuy View More Analyst Ratings for BA View the Latest Analyst Ratings

Tags: RBC On Boeing: Is The Emperor Naked?,  Sec Latest News

6 HOURS AGO - AdvisorOne

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SEC Enforcement: Fake Broker Charged With Selling Phony Stock to Pay Gambling Debt

In another action, the SEC barred an advisor who was sanctioned by the state of New Hampshire over unsuitable recommendations of risky ETFs.

Tags: SEC Enforcement: Fake Broker Charged With Selling Phony Stock to Pay Gambling Debt,  Sec Latest News