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Edward Jones Expands Equity-Style Awards to Thousands More Advisors

February 20th, 2026 at 2:19 PM
Edward D. Jones & Co. has expanded eligibility for its “profits interest” award, extending the equity-style incentive to thousands more advisors, according to a Securities and Exchange Commission filing reviewed by AdvisorHub.
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Wall Street Journal Analysis Questions Investor Gains Following DuPont's Decade-Long Breakup

February 19th, 2026 at 2:07 PM
A Wall Street Journal analysis has raised questions about investor returns following DuPont’s multi-year corporate restructuring, which divided the historic conglomerate into multiple independent companies.
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American Portfolios Ordered to Pay $4.6 Million in Restitution Over Cash Sweep Program Disclosures

February 18th, 2026 at 10:50 AM
The Financial Industry Regulatory Authority (FINRA) has ordered American Portfolios Financial Services to return $4.6 million to customers and pay monetary sanctions after determining that the firm overcharged investors and failed to properly disclose how it generated revenue through a cash sweep program.
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FINRA Fines Kingswood Capital Partners $150,000 for Supervisory Failures in GWG L Bond Sales

February 17th, 2026 at 3:47 PM
The Financial Industry Regulatory Authority (FINRA) censured and fined San Diego–based broker-dealer Kingswood Capital Partners $150,000 after finding supervisory failures tied to sales of high-risk GWG L bonds.
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FINRA Removes Arbitrators in Stifel Case, Drawing Scrutiny Over Impartiality Standards

February 16th, 2026 at 11:53 AM
FINRA agreed to remove two potential arbitrators from an upcoming Stifel Financial arbitration tied to former Miami-based broker Chuck Roberts, a move that could carry broad implications for investor arbitration.
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Cetera Fined $1.1 Million Over Supervisory and AML Deficiencies

February 13th, 2026 at 11:20 AM
The Financial Industry Regulatory Authority (FINRA) has censured and fined Cetera Financial Group $1.1 million after identifying supervisory system and anti-money laundering (AML) failures across several subsidiary broker-dealers.
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CFTC Signals New Rulemaking for Prediction Markets and Crypto Oversight

February 12th, 2026 at 3:20 PM
The Commodity Futures Trading Commission (CFTC) plans to develop new regulations governing the growing prediction markets industry, Chairman Michael Selig announced, signaling a shift in regulatory strategy.
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Ameriprise Advisor Phishing Incident Potentially Exposes Client Data

February 11th, 2026 at 1:38 PM
A phishing incident involving an Ameriprise Financial advisor potentially exposed the personal information of hundreds of clients, according to a disclosure posted by the Maine Attorney General’s office.
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Merrill Lynch Expands Client Disclosures on Crypto and AI Risks

February 10th, 2026 at 1:42 PM
Merrill Lynch updated its required client disclosure brochure to address, for the first time, the evolving risks tied to cryptocurrency-linked investments and the firm’s expanding use of Artificial Intelligence tools.
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FINRA Orders Osaic Unit to Pay Over $5 Million for Misleading Bank Deposit Program Disclosures

February 9th, 2026 at 3:07 PM
The Financial Regulatory Authority (FINRA) ordered independent broker-dealer Osaic and its acquired firm, American Portfolios Financial Services, to pay more than $5 million after finding that American Portfolios misled customers about how it calculated fees in its bank deposit program.
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