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

ÍøÆØ³Ô¹Ï

ÍøÆØ³Ô¹Ï Blog

High Net Worth Investors Surge in Pre-IPO Securities Market

November 10th, 2023 at 10:55 AM
High Net Worth Investors (HNWIs) have recently emerged as the dominant buyers in this market segment.
Read More

Silver-Coin IRA Seller Resolves $68 Million Fraud Allegations with CFTC

November 9th, 2023 at 2:20 PM
Safeguard Metals and its sole owner, Jeffrey Ikahn, reportedly defrauded customers to whom it promoted gold IRAs, resulting in alleged losses of $68 million as reported recently by InvestmentNews.
Read More

Former Advisor Sanctioned for GPB Capital Sales

November 8th, 2023 at 4:16 PM
The Financial Industry Regulatory Authority (FINRA) has fined and suspended Arni J. Diamond for improperly selling limited partnership units in GPB Automotive Portfolio LP and GPB Waste Management LP.
Read More

Record $61 Million Settlement Reached in GE's 401(k) Lawsuit

November 7th, 2023 at 1:25 PM
General Electric has reached a $61 million settlement in a protracted lawsuit concerning its 401(k) plan, marking one of the largest settlements in ERISA litigation history.
Read More

Former Morgan Stanley Advisor Barred by SEC for Misappropriating Client Funds

November 6th, 2023 at 1:17 PM
The Securities and Exchange Commission (SEC) issued an order barring Ronald E. Filoramo, a former Morgan Stanley advisor.
Read More

Legal Challenge to FINRA's Constitutionality Dismissed by D.C. Court

November 3rd, 2023 at 1:15 PM
An advisor who faced FINRA disciplinary action attempted to stop the proceedings in a D.C. federal court.
Read More

Morgan Stanley's Strategic Shift - Elevating Grid Hurdles, Trimming Compensation for Small Households

November 2nd, 2023 at 11:29 AM
Morgan Stanley ÍøÆØ³Ô¹Ïalth Management has informed its approximately 15,000 advisors that, to maintain their current payout in the upcoming year, many will need to increase their revenue, according to a recent article in AdvisorHub.
Read More

Former Morgan Stanley Advisor in North Carolina Faces Suspension and Fine for Unauthorized Trading

November 1st, 2023 at 1:17 PM
The Financial Industry Regulatory Authority (FINRA) has suspended and fined a former Morgan Stanley advisor in Raleigh, North Carolina.
Read More

Connecticut Investment Advisor Admits Guilt in $2.7M Cherry-picking Scam

October 31st, 2023 at 2:16 PM
Jonathan Vincent Glenn, the CEO of Glenn Capital in Greenwich, Connecticut, pleaded guilty to federal securities fraud charges, facing a potential 25-year prison sentence.
Read More

SEC Examination Priorities in 2024

October 30th, 2023 at 2:14 PM
The Securities and Exchange Commission (SEC) has issued its 2024 examination priorities to inform investors and registrants about the focal areas, key risks, and examination topics the division intends to emphasize in the coming year.
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

You guys are good!

Mike L.

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.