Jan 10, 2025 | Advisory Accounts | Brokerage Account Conversions | Bureau of Securities | commission-based brokerage accounts | Consent Order | Edward D. Jones & Co. L.P. | Edward Jones | investors | Multistate Investigation | Supervisory Failures | Bureau of Securities | Consumer Protection | Division of Consumer Affairs | Press Release | Protecting New Jersey in Court
Attorney General Matthew J. Platkin and the Division of Consumer Affairs today announced that the Bureau of Securities has joined a $17 million nationwide multistate settlement with Edward D. Jones & Co., L.P. (Edward Jones) resulting from a probe into the broker-dealer’s supervision of financial professionals moving customers’ commission-based brokerage accounts to fee-based investment advisory accounts.
Aug 12, 2024 | "Abra" Trading & Lending Platform | “Abra Boost” | “Abra Earn” | BOS | Bureau of Securities | Crypto Investment Company | DCA | Division of Consumer Affirs | Division of Law | DOL | investors | Multi-State Securities Investigation | New Jersey Department of the Treasury’s Unclaimed Property Administration | Bureau of Securities | Consumer Protection | Division of Consumer Affairs | Division of Law | Press Release
Crypto Investment Company Winds Down U.S. Operations Following Multi-State Securities Investigation For Immediate Release: August 12, 2024 Office of the Attorney General- Matthew J. Platkin, Attorney GeneralDivision of Consumer Affairs- Cari Fais, Acting...
Dec 20, 2023 | Alabama | broker-dealers | California | Commissions | Florida | Illinois | investors | Massachusetts | Montana | New Jersey Investors | Raymond James Financial Services | restitution | Settlement | Small-Dollar Transactions | Washington | Bureau of Securities | Division of Consumer Affairs | Press Release | Protecting New Jersey Consumers | Protecting New Jersey in Court
The Office of the Attorney General and the Division of Consumer Affairs today announced that the Bureau of Securities has joined a multi-state settlement with two Florida- based broker-dealers that have agreed to pay at least $8.25 million in refunds to investors who were charged unreasonable commission fees on small-dollar transactions.
Apr 14, 2023 | Financial Regulatory Authority (“FINRA”) | investors | Multistate Settlement | North American Securities Administrators Association (“NASAA”) | operational and technical failures | Robinhood | Bureau of Securities | Consumer Protection | Division of Consumer Affairs | Press Release | Protecting New Jersey Consumers
For Immediate Release: April 14, 2023 Office of the Attorney General- Matthew J. Platkin, Attorney GeneralDivision of Consumer Affairs- Cari Fais, Acting DirectorBureau of Securities- Amy G. Kopleton, Acting Bureau Chief For Further Information: Media Inquiries-Rob...
Feb 9, 2023 | Atlantic City | Fake Deeds | investors | Scammers | Office of Public Integrity and Accountability | Press Release | Public Integrity
For Immediate Release: February 9, 2023 Office of the Attorney General- Matthew J. Platkin, Attorney GeneralOffice of Public Integrity and Accountability- Thomas J. Eicher, Executive Director For Further Information: Media Inquiries-Dan ProchiloOAGpress@njoag.gov...
