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ÍøÆØ³Ô¹Ï Blog

Illinois Regulators Accuse "Mr. Finance" of Operating Unlicensed Investment Scheme

June 22nd, 2026 at 1:40 PM
Illinois securities regulators have accused a Chicago-area businessman known as "Mr.
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FINRA Suspends Former Stifel Rep for Undisclosed Customer Settlements

June 19th, 2026 at 2:25 PM
The Financial Industry Regulatory Authority (FINRA) has suspended a former Stifel representative for three months and imposed a $10,000 fine after finding that she settled customer complaints without notifying her firm and conducted securities-related communications through an unapproved personal device.
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Silver Star Properties REIT Files for Chapter 11 Bankruptcy Amid Mounting Defaults and Investor Losses

June 18th, 2026 at 11:55 AM
Silver Star Properties REIT, a publicly registered nontraded real estate investment trust formerly known as Hartman Short Term Income Properties XX Inc., has filed for Chapter 11 bankruptcy protection, according to reports by AltsWire.
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As ÍøÆØ³Ô¹Ïalth Management Consolidation Accelerates, Some Advisors Reevaluate the Meaning of Independence

June 17th, 2026 at 12:10 PM
According to AdvisorHub, the independent wealth management industry has entered a new phase of evolution, prompting some advisors to question whether the firms that once championed independence now increasingly resemble the traditional institutions many advisors left behind.
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Cetera Hit With Class Action Lawsuit Over Cash Sweep Program

June 16th, 2026 at 3:39 PM
A proposed class action lawsuit has accused Cetera Financial Group and Cetera Investment Services of improperly profiting from customer cash held in the firms' FlexInsured Account Program, according to a report by ThinkAdvisor.
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New York Insurance Agent Pleads Guilty to $50 Million Ponzi Scheme

June 15th, 2026 at 12:08 PM
A New York insurance agent and tax preparer has pleaded guilty to operating a Ponzi scheme that allegedly defrauded nearly 1,000 investors out of more than $50 million over several decades, according to a report by InvestmentNews.
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FINRA Suspends Former LPL Broker Over Undisclosed Outside Business Activity

June 12th, 2026 at 11:53 AM
The Financial Industry Regulatory Authority (FINRA) has imposed a $5,000 fine and a 45-day suspension against former LPL Financial broker James R.
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FINRA Suspends Former Raymond James Representative for Improper Account Conversions and Unauthorized Trading

June 11th, 2026 at 12:23 PM
The Financial Industry Regulatory Authority (FINRA) sanctioned Paul D.
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Ameriprise Reports Second Data Breach in Less Than Six Months

June 10th, 2026 at 11:38 AM
Ameriprise Financial recently disclosed another data breach, marking the second cybersecurity incident involving the firm in less than six months.
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FINRA Arbitration Panel Orders &Partners and Broker to Pay ÍøÆØ³Ô¹Ïlls Fargo $1.25 Million

June 9th, 2026 at 2:04 PM
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered &Partners and broker David M.
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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.

Thomas C.

LATEST NEWS AND ARTICLES

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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.

1783357679 Law
July 6, 2026
Schwab Imposes New Limits on Tax-Aware Long-Short Investment Strategies

Charles Schwab Corp.

1783012078 Law
July 2, 2026
Financial Services Institute Backs New Jersey Bill Protecting Independent Advisor Model

The Financial Services Institute (FSI) has urged New Jersey lawmakers to advance legislation that would help preserve the independent contractor status of financial advisors operating in the state.