Securities Division
Enforcement Actions
Secretary Galvin Charges Unregistered Adviser for Using Fake Entity to Deceive Clients
May 3, 2022
Secretary Galvin Permanently Bans Real Estate Company from Selling Securities After Misleading Stock Offer
April 19, 2022
Secretary Galvin Fines Bitcoin Mining Company $1 Million, Warns Investors to be Wary of Bad Actors
March 22, 2022
Secretary Galvin Settles Fraud and Other Claims Against Venture Capital Firm
March 4, 2022
Secretary Galvin Charges PKS Investments Over Failure to Review Unsuitable Investments in Leveraged ETFs
February 17, 2022
Secretary Galvin Charges Fidelity with Unethical and Dishonest Conduct in Options and Margin Approval Due Diligence
January 26, 2022
Secretary Galvin Charges Six in Connection with Fraudulent Cannabis Capital Raise
October 5, 2021
Secretary Galvin Orders Overhaul of MassMutual Social Media Policies and Registration of Agents
September 16, 2021
Secretary Galvin Charges Charles Schwab and Unregistered Investment Adviser over Dishonest & Unethical Fee Practices
July 21, 2021
Secretary Galvin Charges Company with Sales of Fraudulent Securities to Seniors
December 22, 2020
Secretary Galvin Charges Robinhood over Gamification and Options Trading
December 16, 2020
Secretary Galvin Charges Local Man in $140,000 Investment Scam
December 1, 2020
Secretary Galvin charges North Shore Broker-Dealer Agent and her husband with fraud
September 18, 2020
Secretary Galvin Charges Ex-Broker with Unsuitable Sales of Illiquid Securities to Massachusetts Investors
July 16, 2020
Secretary Galvin Charges Forex Trader for False and Misleading Digital Ads
July 14, 2020
Secretary Galvin Charges Penny Stock Trader for False and Misleading Digital Ads
July 14, 2020
Secretary Galvin Brings Charges against GPB for Defrauding Massachusetts Investors
May 27, 2020
Secretary Galvin Charges RBC with Failing to Supervise Unsuitable Trades
May 19, 2020
Secretary Galvin Charges Sterling Man Over Millions in Unregistered Investment Sales
February 6, 2020
Enforcement Actions Archives (2012-2019)
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News and Updates
Secretary Galvin Comments in Connection with the SEC’s Proposed Regulation Best Interest (PDF)
Secretary Galvin Opens Investigation Into Wells Fargo Advisors (PDF)
Secretary Galvin Locates Hundreds of Retirees
Owed Pension Payments by Metlife, Expands Investigation (PDF)
Secretary Galvin Warns About Bitcoin Mania (PDF)
Secretary Galvin Blasts S.E.C. Commissioner Over Fiduciary Rule Criticism (PDF)
House Financial Services Financial CHOICE Act of 2017. Secretary Galvin Urges Preservation of State Enforcement Authority (PDF)
Secretary Galvin's Statement on Trump Administration on Fiduciary Rule (PDF)
Secretary Galvin Issues Findings on Firms Hiring Bad Brokers - Warns Broker-Dealers who fail to Self-Police
Report on Survey Regarding the Implications of the Department of Labor's Fiduciary Rule and Best Interest Contract Exemption on Massachusetts-Registered Investment Advisers (PDF)
Massachusetts Securities Division Issues Policy Statement State Registered Investment Advisers' Use of Third Party Robo-Advisers (PDF)
Massachusetts Securities Division Issues Policy Statement Robo-Advisers / Fiduciary Standards (PDF)
Massachusetts Securities Division Request for Public Comments on Proposed Regulations
New Massachusetts Crowdfunding Regulation and Summary and Highlights
2016 Renewals for Investment Adviser and Investment Adviser Representative Registrations, Notice Filers and Exempt Reporting Advisers
(PDF)
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Enforcement Section
Registration, Inspections, Compliance, and Examinations Section (RICE)
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Corporate Finance Section
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Investor Information