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JPMorgan Explores Crypto Trading for Institutional Clients as Wall Street Deepens Digital Asset Push

January 23rd, 2026 at 1:30 PM
JPMorgan is weighing another significant expansion into cryptocurrency, as the firm considers allowing institutional clients to trade digital assets, according to Bloomberg Law.
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EC Zeroes In on Persistent Marketing Rule Failures With New Staff FAQs

January 22nd, 2026 at 3:51 PM
The Securities and Exchange Commission (SEC) has sharpened its scrutiny of investment adviser marketing practices, signaling continued frustration with recurring compliance failures despite years of guidance and enforcement. As reported by Financial Advisor News, new staff FAQs published in January follow a December risk alert that detailed persistent deficiencies involving testimonials, endorsements, and third-party rankings.
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New Investor Losses as Yieldstreet Rebrands to Willow ÍøÆØ³Ô¹Ïalth

January 21st, 2026 at 1:22 PM
Yieldstreet, now operating under the name Willow ÍøÆØ³Ô¹Ïalth, continues to report significant losses to investor clients despite a high-profile rebrand.
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SEC Charges Three Advisors in Alleged Sale of Unregistered Oil and Gas Securities

January 20th, 2026 at 3:33 PM
The Securities and Exchange Commission (SEC) has charged three advisors and agents with selling millions of dollars in unregistered oil and gas securities to retail investors while failing to disclose conflicts of interest.
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FINRA Study Warns of Declining Investor Participation and Rising Fraud Risks Among Younger Investors

January 19th, 2026 at 1:33 PM
A new study from FINRA’s Investor Education Foundation highlights troubling shifts in retail investing, including shrinking participation, heavier reliance on social media for advice, and growing vulnerability to fraud.
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SEC Signals Sweeping IPO Rule Changes to Ease Path for Smaller Companies

January 16th, 2026 at 11:26 AM
The Securities and Exchange Commission (SEC) plans to overhaul its public offering framework to make it easier for smaller companies to access the public markets, according to remarks SEC Chairman Paul Atkins delivered at the New York Stock Exchange, as reported by Bloomberg Law.
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FINRA Flags Risks of Early Withdrawals and Exchanges in Registered Index-Linked Annuities

January 15th, 2026 at 4:08 PM
The Financial Industry Regulatory Authority (FINRA) has issued a renewed warning to the industry about the risks consumers face when they exit registered index-linked annuities (RILAs) before the end of the contract term.
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FINRA Fines and Suspends ÍøÆØ³Ô¹Ïlls Fargo Advisor Over Fictitious Expense Claims

January 14th, 2026 at 11:43 AM
The Financial Industry Regulatory Authority (FINRA) fined and suspended a ÍøÆØ³Ô¹Ïlls Fargo Advisors representative in Waco, Texas, after finding that he submitted fictitious business expense claims, according to a FINRA Acceptance, Waiver and Consent (AWC) letter.
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Florida Man Indicted in $36 Million Investment Fraud Scheme

January 12th, 2026 at 1:38 PM
According to news sources, federal prosecutors allege that a Florida man orchestrated a multimillion-dollar Ponzi scheme that funded a luxury lifestyle built on stolen investor money, according to the U.S. Department of Justice.
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FINRA Sanctions Former ÍøÆØ³Ô¹Ïlls Fargo Advisor for Profile Falsification and Unauthorized Trading

January 9th, 2026 at 11:27 AM
The Financial Industry Regulatory Authority (FINRA) disciplined former ÍøÆØ³Ô¹Ïlls Fargo Advisors broker James E. Holmes III for misconduct tied to his falsifying customer information and unauthorized trading.
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LATEST NEWS AND ARTICLES

1783525964 Law
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SEC Sanctions David Lerner Associates for Regulation Best Interest Violations

David Lerner Associates has agreed to settle Securities and Exchange (SEC) charges alleging violations of Regulation Best Interest (Reg BI) that resulted in unnecessary costs to retail investors, according to InvestmentNews.

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Private Credit Funds Face Mounting Redemption Pressure as Investor Sentiment Shifts

A surge in investor redemption requests has intensified pressure on private credit funds, raising concerns about liquidity and long-term stability across the asset class, as reported by The Wall Street Journal.

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July 6, 2026
Schwab Imposes New Limits on Tax-Aware Long-Short Investment Strategies

Charles Schwab Corp.