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

ÍøÆØ³Ô¹Ï

ÍøÆØ³Ô¹Ï Blog

FINRA Adopts New Rules for Remote Inspections and Home Offices

February 14th, 2024 at 11:50 AM
The Financial Industry Regulatory Authority (FINRA) has implemented new rules to enhance its remote inspections pilot program and address home offices as "residential supervisory locations."
Read More

Robinhood Settles Regulatory Action and Agrees to Overhaul Gamification Practices

February 13th, 2024 at 1:44 PM
After a prolonged legal battle with the Massachusetts Securities Division, Robinhood has agreed to pay $7.5 million and revamp its digital engagement practices, according to Secretary of the Commonwealth William Galvin.
Read More

FINRA Sanctions Former Edward Jones Financial Advisor for Unauthorized Trades

February 12th, 2024 at 10:57 AM
A former Edward Jones financial advisor in San Francisco, Jilena Yuen-Han Mok, has been fined and suspended by the Financial Industry Regulatory Authority (FINRA) for engaging in unauthorized trading.
Read More

New "XXXX" Exchange-Traded Notes Draw Attention

February 9th, 2024 at 11:21 AM
A recently introduced investment strategy in the United States is gaining attention for its amplified stock leverage.
Read More

FINRA Issues Warning Amid Surge in "Investment Group" Frauds on Social Media

February 8th, 2024 at 2:27 PM
The Financial Industry Regulatory Authority (FINRA) reports a surge in investor complaints related to fraudulent "investment groups" exploiting social media platforms.
Read More

FINRA Takes Action Against Former Cambridge Advisor for Annuity Exchange Violations

February 7th, 2024 at 3:10 PM
Malay Kumar, a former advisor affiliated with Cambridge Investment Research, recently agreed to settle a disciplinary matter brought by FINRA. The AWC (Acceptance, Waiver, and Consent) reflects a $10,000 fine and a 12-month suspension. The settlement revealed that Kumar recommended a series of variable annuity exchanges that violated Reg BI.
Read More

RIA EverNest Files Lawsuit to Sever Ties with Sanctuary ÍøÆØ³Ô¹Ïalth Following FINRA Fine

February 6th, 2024 at 10:45 AM
EverNest Financial Advisors, a Carmel, Indiana-based registered investment adviser, has filed a lawsuit seeking to reverse a deal where it sold a 20 percent stake to Sanctuary ÍøÆØ³Ô¹Ïalth almost two years ago.
Read More

Former Ameriprise Advisor Barred by FINRA for Non-Cooperation in Crypto Business Investigation

February 5th, 2024 at 1:15 PM
A former Ameriprise Financial advisor, Eric V. Kubiak, has chosen an industry bar over full cooperation with a Financial Industry Regulatory Authority (FINRA) investigation into his undisclosed outside business activity involving crypto assets.
Read More

Financial Advisor Sentenced to 8 Years for Defrauding Amish Investors

February 2nd, 2024 at 2:18 PM
Earl D. Miller, convicted in 2022 for defrauding Amish and Mennonite investors through his real estate investment firm, "5 Star", has been sentenced to over eight years in prison.
Read More

FINRA Fines and Suspends Merrill Lynch Advisor Over Unauthorized Role as Estate Executor

February 1st, 2024 at 1:26 PM
Frederick R. Watson, a veteran advisor with 37 years of experience at Merrill Lynch, has been fined $10,000 and suspended for four months by the Financial Industry Regulatory Authority (FINRA).
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

That is just fantastic! Thank you very much!

Julie N.

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.

1783434190 Law
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.