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ÍøÆØ³Ô¹Ï Blog

Conservation Easement Crackdown: Understanding IRS Enforcement and Investor Risk

November 13th, 2025 at 9:20 AM
Conservation easements can serve as powerful legal tools that protect open land, preserve wildlife habitats, and offer legitimate tax benefits to property owners.
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Federal Judge Restrains Former UBS Advisors Amid Solicitation Dispute with Elevation Point

November 12th, 2025 at 9:28 AM
A federal judge in Florida has approved a stipulated order restricting a $1.4 billion advisory team that left UBS ÍøÆØ³Ô¹Ïalth Management USA for RIA Elevation Point from contacting certain clients.
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FINRA Bars Advisor Over Misuse of Client Funds and Not Cooperating

November 11th, 2025 at 9:35 AM
The Financial Industry Regulatory Authority (FINRA) has barred former Raymond James financial advisor Jose A. Gamez after he failed to appear for testimony in connection with allegations that he used client funds for personal purposes.
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FINRA Suspends Former ÍøÆØ³Ô¹Ïlls Fargo Broker Over Unapproved Real Estate Venture

November 7th, 2025 at 1:49 PM
The Financial Industry Regulatory Authority (FINRA) suspended former ÍøÆØ³Ô¹Ïlls Fargo broker George J. Cairnes for four months and fined him $25,000 for engaging in unapproved real estate outside business activity, according to a settlement letter issued.
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Former Ameriprise Broker Ordered to Pay $2.2 Million for Elder Exploitation

November 6th, 2025 at 3:23 PM
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Eric A. Dupre to pay nearly $2.2 million in damages to his former firm and two customers following allegations of theft and elder exploitation.
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Former ÍøÆØ³Ô¹Ïlls Fargo Representative Suspended for Unauthorized Texting and Obstruction

November 5th, 2025 at 3:20 PM
The Financial Industry Regulatory Authority (FINRA) has suspended former ÍøÆØ³Ô¹Ïlls Fargo representative Eyan M. Townsend for one year and fined him $10,000 for using personal text messages to conduct business and attempting to obstruct an internal investigation by deleting those communications.
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FINRA Suspends Former Morgan Stanley Advisor Over $180,000 in Improper Transfers

November 4th, 2025 at 9:23 AM
The Financial Industry Regulatory Authority (FINRA) suspended former Morgan Stanley advisor C.J. Kline for two years and imposed a $5,000 fine for allegedly executing more than $180,000 in improper fund transfers between his personal and brokerage accounts.
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Former Florida Broker Pleads Guilty in $2.7 Million Investment Fraud and PPP Loan Scheme

November 3rd, 2025 at 9:53 AM
Former Florida broker Jared Dean Eakes, 34, of Jacksonville, has pleaded guilty to wire and bank fraud in connection with a $2.7 million investment scam and a separate scheme involving over $4.75 million in fraudulent Paycheck Protection Program (PPP) loans, according to U.S. Attorney Gregory W. Kehoe for the Middle District of Florida.
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Department of Labor Sued Over Illegitimate Deferred Compensation Opinion Letter

October 31st, 2025 at 10:13 AM
Three former Morgan Stanley advisors filed suit this week against the U.S. Department of Labor (DOL), claiming the agency exceeded its authority and was unduly influenced when it issued an advisory opinion that sought to undermine their deferred compensation claims.
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SEC Sues Former Franchise Group CEO Over $350 Million Hedge Fund Fraud

October 30th, 2025 at 2:32 PM
The Securities and Exchange Commission (SEC) filed a lawsuit against Brian Kahn, former CEO of Franchise Group Inc., alleging he defrauded investors of more than $350 million in a multi-year investment adviser fraud tied to the collapse of Prophecy Asset Management (Prophecy).
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Hiring ÍøÆØ³Ô¹Ï has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over.  If you are in a situation where you've been unfairly accused, don't hesitate to talk with ÍøÆØ³Ô¹Ï. They are the best.

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LATEST NEWS AND ARTICLES

1783615970 Law
July 9, 2026
FINRA Suspends Former Branch Manager for Supervisory Failures Linked to Excessive Trading and Churning

A former regional branch manager at a broker-dealer has agreed to Financial Industry Regulatory Authority (FINRA) sanctions after the regulator found that he failed to supervise registered representatives who engaged in excessive trading and churning of customer accounts.

1783525964 Law
July 8, 2026
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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July 7, 2026
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.