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ÍøÆØ³Ô¹Ï Blog

Bankruptcy Court Approves DWG's Reorganization Plan

August 11th, 2023 at 1:13 PM
The Bankruptcy Court for the Southern District of Texas has approved GWG Holdings Inc.'s reorganization plan.
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Fifth Circuit Upholds Conviction of UDF Executives in Securities Fraud Case

August 10th, 2023 at 11:48 AM
In a recent ruling, the Fifth Circuit upheld the conviction of United Development Funding (UDF) executives on multiple charges of wire and securities fraud linked to their operation of a Ponzi scheme.
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SEC Finds Deficiencies in Broker-Dealers' Anti-Money Laundering Policies

August 8th, 2023 at 1:11 PM
The Securities and Exchange Commission (SEC) has issued an alert to broker-dealers regarding deficiencies found in their examinations related to crucial anti-money laundering (AML) requirements.
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Judge Directs RIA's Poaching Suit Against Cambridge to Arbitration

August 7th, 2023 at 1:37 PM
A Virginia federal judge recently dismissed a complaint filed by a registered investment advisor (RIA), Colonial River ÍøÆØ³Ô¹Ïalth Advisors, against broker-dealer Cambridge Investment Research, in favor of arbitration to resolve the dispute.
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DOJ Accuses Advisors of $5M Fraud Amid Lawsuit Against Trump Attorney

August 4th, 2023 at 1:08 PM
The Justice Department has charged investment advisor brothers Adam and Daniel Kaplan with wire and investment fraud and money laundering. 
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Former J.P. Morgan Advisor Receives Additional Sanctions For Misleading Testimony

August 3rd, 2023 at 1:18 PM
Last year, a J.P. Morgan advisor, Howard S. Rothman, was required to pay $100,000 due to alleged perjury during a contentious arbitration with his former partner.
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SEC Accuses Florida Resident of Running $35 Million Ponzi Scheme Targeting Church Members

August 2nd, 2023 at 11:51 AM
The Securities and Exchange Commission (SEC) has charged Brent Seaman and several entities under his management with conducting fraudulent activities.
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SEC Proposes Reforms for Internet-Exclusive Investment Advisers

August 1st, 2023 at 10:51 AM
The Securities and Exchange Commission (SEC) introduced proposed amendments to the rule that allows specific investment advisers offering their services online to register with the Commission.
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FINRA Fines LPL Over Failure to Detect Harmful Wire Transfers to Clients

July 31st, 2023 at 1:13 PM
The Financial Industry Regulatory Authority Inc. (FINRA) imposed a $3 million fine on LPL Financial for failing to oversee two financial advisors adequately.
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PIABA Urges SEC to Limit RIAs' Mandatory Arbitration and Mandate Disclosure of Client Claims

July 28th, 2023 at 11:02 AM
The Public Investors Advocate Bar Association (PIABA), a trade group representing plaintiffs' lawyers, has urged the Securities and Exchange Commission (SEC) to take action against the "broken" arbitration system used by investors bringing claims against registered investment advisers (RIAs).
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Hiring ÍøÆØ³Ô¹Ï has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over.  If you are in a situation where you've been unfairly accused, don't hesitate to talk with ÍøÆØ³Ô¹Ï. They are the best.

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LATEST NEWS AND ARTICLES

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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.

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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.

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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.