Compliance

QVC Loan Probe Continues

QVC said it continues to investigate alleged irregularities regarding employee 401(k) hardship withdrawals at its Rocky Mount, North Carolina, distribution center.

Securities Cases on Downslope

Securities lawyers were not quite as busy during the second quarter of 2009 as lawsuits plummeted from 221 during the first quarter to 140, according to Advisen’s Master...

FINRA Bars Broker for Operating Ponzi Scheme

As part of an ongoing investigation, the Financial Industry Regulatory Authority (FINRA) has permanently barred a former registered representative with AXA Advisors, LLC, for conducting a Ponzi scheme.