Delaware Department of Justice Investor Protection Unit secures settlement with LPL Financial, LLC over Leveraged Exchange Traded Funds
LPL will provide restitution to Delaware investors related to suitability and supervision violations Wilmington – Delaware Attorney General Matt Denn announced that LPL Financial, LLC (LPL) has finalized a settlement with the Delaware Attorney General’s Investor Protection Unit and the Massachusetts Attorney General’s Office to resolve an investigation into LPL’s use of Leveraged Exchange Traded […]
Delaware Attorney General Beau Biden announced Monday that Citigroup Inc. will pay at least than $17 million to Delaware to settle allegations stemming from the bank’s conduct that helped cause the housing crisis.
Attorney General Beau Biden today announced that the Delaware Department of Justice Investor Protection Unit has obtained an indictment charging Michael A. Kwasnik with theft, securities fraud, sale of unregistered securities, and acting as an unregistered broker dealer following its investigation of a scheme to defraud investors. Kwasnik, age 45, of Marlton, New Jersey, was indicted March 17, by the New Castle County Grand Jury.
In the latest effort by his office to hold accountable those responsible for the mortgage foreclosure crisis, Delaware Attorney General Beau Biden announced that JPMorgan Chase will pay $19.7 million to settle allegations stemming from conduct that helped cause the greatest economic downturn since the Great Depression.
Attorney General Beau Biden settles with RBC Capital Markets Regarding Unlicensed Securities Salespeople
Attorney General Beau Biden announced today that RBC Capital Markets, LLC has paid the Delaware Department of Justice $33,520.17 as part of a settlement with the Attorney General’s Investor Protection Unit.