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

ÍøÆØ³Ô¹Ï

ÍøÆØ³Ô¹Ï Blog

Merrill Lynch Fined for Supervisory Failures

June 11th, 2024 at 11:17 AM
Merrill Lynch has reached an $825,000 settlement with FINRA over allegations of inadequate supervision concerning retail orders and recordkeeping practices dating back to 2017.
Read More

SEC Issues Risk Alert to Broker-Dealers Regarding Examination Criteria

June 10th, 2024 at 1:27 PM
The Securities and Exchange Commission (SEC) has issued a new Risk Alert, advising broker-dealers that their prior disciplinary history, financial stress indicators, and media reports could make them likely candidates for an examination.
Read More

Oppenheimer & Co. Fined $500,000 by FINRA for Supervisory Lapses

June 7th, 2024 at 11:27 AM
Oppenheimer & Co. has agreed to a $500,000 fine to settle allegations made by FINRA regarding inadequate supervision of certain trades conducted by its advisors directly with fund companies on behalf of customers.
Read More

Regulatory Probes Target Morgan Stanley's ÍøÆØ³Ô¹Ïalth Management Arm

June 6th, 2024 at 1:20 PM
Multiple regulatory agencies, including the U.S. Securities and Exchange Commission (SEC) and the Office of the Comptroller of the Currency (OCC), are conducting investigations into Morgan Stanley's wealth management division, as reported by the Wall Street Journal.
Read More

FINRA Arbitration Awards $100,000 to Investor Over Unsuitable GWG L Bonds

June 5th, 2024 at 10:57 AM
In a recent FINRA arbitration, an investor was awarded close to $100,000 due to unsuitable investments in GWG L bonds purchased in 2018 and 2020.
Read More

SEC Files Charges Against Robert M.Thompson and Financial Freedom Foundation

June 4th, 2024 at 1:13 PM
The U.S. Securities and Exchange Commission (SEC) has taken legal action against Robert M. Thompson and Financial Freedom Foundation (F3 Mastermind), a private entity under his control, for allegedly defrauding investors through three securities offerings.
Read More

Bank Sues Founders of Precedent ÍøÆØ³Ô¹Ïalth

June 3rd, 2024 at 4:08 PM
Cadence Bank has filed a lawsuit against the founders of Precedent ÍøÆØ³Ô¹Ïalth, a San Antonio RIA, accusing them of stealing confidential information and trade secrets in an effort to poach clients from their former firm.
Read More

Advisor Ordered to Pay $2.6 Million in Damages for Breaching Asset Purchase Agreement

May 31st, 2024 at 2:13 PM
A FINRA arbitration panel has ordered Nicole E. Sennett to pay $2,557,000 in compensatory damages to Monocacy ÍøÆØ³Ô¹Ïalth Partners and its founders, Scott A. Brantingson and his son, Scott M. Brantingson.
Read More

FINRA Targets Repeat Offenders and Reg BI Violations in Enforcement Focus

May 29th, 2024 at 1:22 PM
AdvisorHub reports that the Financial Industry Regulatory Authority (FINRA) is advocating more stringent penalties for repeat offenders who fail to comply with FINRA rules or securities laws.
Read More

SEC and FinCEN Propose Stricter Anti-Money Laundering Rules for Investment Advisors

May 28th, 2024 at 10:22 AM
The Securities and Exchange Commission (SEC) and the Financial Crimes Enforcement Network (FinCEN) have proposed a rule to enhance anti-money laundering (AML) and counter-terrorism practices for registered investment advisers (RIAs) and exempt reporting advisers, including private fund and venture capital advisors.
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For this we are so very grateful. The world would be a much nicer place if there were more people like the two of you in it. ÍøÆØ³Ô¹Ï will always remember all the help and kindness you have shown us. Thank you so very very much for everything.

Wayne and Judy S.

LATEST NEWS AND ARTICLES

1778171646 Law
May 7, 2026
FINRA Bars Former Raymond James Broker for Refusing Testimony in Unauthorized Trading Probe

A former registered representative with Raymond James has been barred from the securities industry after refusing to cooperate with a Financial Industry Regulatory Authority (FINRA) investigation into alleged unauthorized trading activity.

1778084309 Law
May 6, 2026
FINRA Outlines Key Rulemaking Priorities and Recent Developments in Quarterly Agenda

The Financial Industry Regulatory Authority (FINRA) recently released its Quarterly Regulatory Policy Agenda, offering a detailed view of its rulemaking priorities, pending proposals, and recently approved regulatory changes.

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.