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

ÍøÆØ³Ô¹Ï

ÍøÆØ³Ô¹Ï Blog

Bybit Suffers Massive $1.5 Billion Crypto Hack Amid Security Concerns

April 2nd, 2025 at 3:04 PM
Bybit, a major cryptocurrency exchange, has fallen victim to a devastating security breach, resulting in the theft of approximately $1.5 billion in Ethereum.
Read More

CFP Board Releases AI Ethics Guide for Its Certificants

April 1st, 2025 at 3:43 PM
The CFP Board has released a "Generative AI Ethics Guide" to address the growing use of artificial intelligence in financial advising.
Read More

Margin Debt Hits Record Highs

March 31st, 2025 at 12:24 PM
Investors' use of margin trading has surged to unprecedented levels, with debit balances in margin accounts reaching a record $937 billion as of January 2025, according to FINRA.
Read More

FINRA Arbitration Orders Stifel to Pay $133 Million Over Broker's Structured Note Strategy

March 28th, 2025 at 12:11 PM
A FINRA arbitration panel has ordered Stifel Financial’s retail broker-dealer to pay nearly $133 million in damages related to a structured note investment strategy promoted by Miami-based broker Chuck A. Roberts.
Read More

FINRA Fines Robinhood $26 Million for Compliance Failures

March 27th, 2025 at 11:21 AM
According to Barron’s, FINRA has fined Robinhood Financial and Robinhood Securities $26 million for multiple rule violations, including failures in anti-money laundering compliance, inadequate supervision of trading technology, and misleading customer communications.
Read More

Former Edward Jones Advisor Barred After Refusing to Cooperate with FINRA Investigation

March 26th, 2025 at 2:11 PM
A former Edward Jones advisor, James A. Bowman, has accepted an industry bar rather than cooperate with a Financial Industry Regulatory Authority (FINRA) investigation into allegations that he reimbursed clients for losses in their accounts.
Read More

Pennsylvania Investor Sues Captrust Over $360,000 Phishing Scam Loss

March 25th, 2025 at 1:00 PM
A Pennsylvania investor has filed suit against Captrust Financial Advisors, alleging the firm failed to act swiftly in stopping a scam that drained her retirement savings.
Read More

Merrill Lynch Advisor Sanctioned for Unauthorized Trading

March 24th, 2025 at 2:58 PM
FINRA has fined a former Merrill Lynch advisor $5,000 and suspended the advisor for 30 days for executing unauthorized trades in client accounts.
Read More

SEC Updates Marketing Rule Guidance to Clarify Extracted Performance and Portfolio Metrics

March 21st, 2025 at 2:20 PM
The Securities and Exchange Commission (SEC) has issued updated guidance on its marketing rule, addressing industry concerns regarding net performance requirements, extracted performance, and portfolio characteristics.
Read More

Stifel Loses Raiding Case, Ordered to Pay Over $7 Million in Legal Fees

March 20th, 2025 at 3:59 PM
Stifel Financial has lost its raiding and breach-of-contract claim against a group of advisors who left its Indianapolis office to establish their own firm.
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

ÍøÆØ³Ô¹Ï just wanted to say thanks for your work in helping us get back some of the money we lost. ÍøÆØ³Ô¹Ï are not by any means rich, but we have saved some money and we have done so through a tight-fisted approach to most everything we do. So losing a significant chunk of money hurt…especially at a time when everyone else was growing their accounts. ÍøÆØ³Ô¹Ï really appreciate the work you did.

Allan and Adele

LATEST NEWS AND ARTICLES

1778000603 Law
May 5, 2026
Commonwealth Financial Network Resolves SEC Conflict of Interest Case

Commonwealth Financial Network has agreed to pay $5 million to resolve a long-standing conflict of interest case brought by the Securities and Exchange Commission, according to reporting by ThinkAdvisor.

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.