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

ÍøÆØ³Ô¹Ï

ÍøÆØ³Ô¹Ï Blog

Morgan Stanley Advisor Wins Expungement Under FINRA's Stricter Rules

March 5th, 2025 at 1:42 PM
A FINRA arbitration panel granted a financial advisor’s request to expunge a 2022 customer complaint from her record, marking another test of FINRA’s stricter expungement rules.
Read More

Federal Judge Strikes Down Hightower's Non-Compete Agreement in California

March 4th, 2025 at 10:51 AM
A federal judge in Wilmington, Delaware, ruled against Hightower Advisors in its effort to enforce non-compete agreements against a former advisor in California who sold his firm to Hightower.
Read More

UBS Warns of Increased Advisor Departures Following Compensation Overhaul

March 3rd, 2025 at 2:19 PM
UBS Group AG executives cautioned that the firm may see a rise in advisor departures this year due to changes in its 2025 compensation plan.
Read More

SEC Sanctions One Oak Capital and Advisor for Improper Conversions to Fee Based Accounts

February 28th, 2025 at 1:42 PM
The Securities and Exchange Commission (SEC) has penalized a New York-based registered investment adviser and its veteran adviser for converting brokerage accounts into advisory accounts that resulted in significantly higher fees without providing additional services.
Read More

Arbitration Panel Orders Morgan Stanley to Pay $843,000 for Failing to Protect Elderly Client from Fraud

February 27th, 2025 at 2:35 PM
A FINRA arbitration panel has ordered Morgan Stanley to pay $843,000 in compensatory damages to a senior client residing in Florida for failing to protect her from financial fraud. As reported by ThinkAdvisor, the panel found the firm liable for negligence in a case that highlighted the growing risk of elder financial exploitation.
Read More

Sharp Drop in FINRA Expungement Requests as New Rules Take Effect

February 26th, 2025 at 11:05 AM
The number of brokers seeking to expunge customer complaints and other disclosures from their public records through FINRA’s arbitration forum has plunged 79 percent over the past year.
Read More

FINRA Highlights Risks of Investing Home Equity Loan Proceeds

February 25th, 2025 at 11:20 AM
FINRA issued a reminder to financial advisors to carefully consider customers’ time horizons and risk tolerance, particularly when recommending investments using funds from a home equity loan, as reported by AdvisorHub. 
Read More

ÍøÆØ³Ô¹Ïlls Fargo to Strengthen Financial Crimes Risk Management Amid Regulatory Agreement

February 24th, 2025 at 11:55 AM
ÍøÆØ³Ô¹Ïlls Fargo has agreed with U.S. banking regulators to enhance its financial crime risk management practices, including tightening controls over suspicious activity and money laundering.
Read More

Financial Advisor Accepts Suspension and Fine for Misrepresenting Continuing Education Compliance

February 21st, 2025 at 1:28 PM
A financial advisor affiliated with Equity Services Inc. (ESI) has agreed to a one-month suspension and a $5,000 fine after the Financial Industry Regulatory Authority (FINRA) found that someone else completed his required continuing education (CE) for a state insurance license renewal.
Read More

Vanguard Settles SEC Allegations Over Misleading Statements on Tax Implications

February 20th, 2025 at 4:31 PM
Vanguard Group has agreed to pay over $106 million to settle allegations by the U.S. Securities and Exchange Commission (SEC) that it misled retail investors regarding capital gains distributions and tax liabilities associated with its popular target-date retirement funds.
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

That is just fantastic! Thank you very much!

Julie N.

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.