Tr?id=566623520170033&ev=PageView&noscript=1

ÍøÆØ³Ô¹Ï

ÍøÆØ³Ô¹Ï Blog

How New CCOs Can Navigate Today's Compliance Challenges

September 24th, 2025 at 2:15 PM
The role of the chief compliance officer (CCO) has never carried more weight or more complexity, according to ÍøÆØ³Ô¹Ïalth Management.
Read More

SEC Sanctions Emerson Equity and Advisor Over GWG L Bond Sales

September 23rd, 2025 at 3:16 PM
The Securities and Exchange Commission (SEC) has announced settlements with Emerson Equity and one of its registered representatives, citing violations of Regulation Best Interest (Reg BI) tied to the sale of GWG Holdings Inc. L bonds.
Read More

Investors Pursue Recovery Amid Inspired Healthcare Capital Difficulties

September 22nd, 2025 at 2:00 PM
Investors in Inspired Healthcare Capital (IHC) face mounting losses after the firm suspended distributions and halted new offerings in July 2025 amid an ongoing SEC review.
Read More

Financial Advisors Split on AI Adoption

September 19th, 2025 at 2:19 PM
Artificial Intelligence (AI) continues to dominate headlines, promising sweeping efficiencies in nearly every industry. Financial Planning reports that financial advisors remain divided on its role and value.
Read More

Easterly ROCMuni Fund Collapse Triggers Investor Lawsuits

September 18th, 2025 at 2:24 PM
The Easterly ROCMuni High Income Municipal Bond Fund (tickers RMHIX, RMHVX, RMJAX) suffered a significant collapse in mid-2025, wiping out hundreds of millions in value and leaving many investors with steep losses.
Read More

FINRA Suspends Centaurus Dallas Broker Over Excessive Alternative Investment Sales

September 17th, 2025 at 2:02 PM
FINRA has suspended a Centaurus Financial broker, William Burks, for four months after finding he placed as much as 91 percent of a client’s net worth into illiquid alternative investments.
Read More

Former Morgan Stanley Advisors Win Partial Court Victory in Client Solicitation Dispute

September 16th, 2025 at 11:35 AM
Two former Morgan Stanley advisors in Hackensack, New Jersey have defeated Morgan Stanley’s initial effort to block them from soliciting clients, according to an August 15 order from New Jersey Superior Court.
Read More

California Young-Gun Investor Charged in Alleged $6 Million Ponzi Scheme

September 15th, 2025 at 2:59 PM
Federal prosecutors have accused Mihir Deepak Sukthankar, a California resident once celebrated as a teenage trading “prodigy,” of orchestrating a multi-million-dollar Ponzi scheme.
Read More

LPL Broker Fined and Suspended for Recommending Risky Investments to Elderly Client

September 12th, 2025 at 10:11 AM
An LPL Financial broker in Elizabethtown, Kentucky, has agreed to sanctions after FINRA found he violated Regulation Best Interest (Reg BI) when recommending unsuitable investments to an elderly customer.  
Read More

Montana Federal Judge Allows Family's Premium Financing Claims to Proceed

September 11th, 2025 at 11:57 AM
A federal judge in Montana has allowed a family to move forward with negligence, fraud, and unjust enrichment claims tied to a premium-financed life insurance arrangement valued at $67.5 million.
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

You are the best attorneys in the country.

CC

LATEST NEWS AND ARTICLES

1777908810 Law
May 4, 2026
KKR Limits Redemptions in Private Credit Fund Amid Rising Investor Withdrawals

KKR & Co.

1777663103 Law
May 1, 2026
Former Texas Advisor Pleads Guilty in Multi-Million Dollar Ponzi Scheme

A former financial advisor and media personality in San Antonio has admitted to defrauding clients in a large-scale Ponzi scheme involving hundreds of investors and millions of dollars, according to reporting by Financial Advisor News.

1777565671 Law
April 30, 2026
SEC Charges Adviser's Estate and Firm in Alleged $1.68 Million Client Fund Misappropriation Scheme

The Securities and Exchange Commission has filed a civil enforcement action against the estate of former investment adviser John R.