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ÍøÆØ³Ô¹Ï Blog

FINRA Accuses Spartan Capital of Widespread Churning That Allegedly Harmed Customers

February 3rd, 2026 at 1:42 PM
The Financial Industry Regulatory Authority (FINRA) has brought a disciplinary complaint against Spartan Capital Securities and several senior leaders of the New York City–based broker-dealer, alleging that the firm facilitated excessive trading that generated millions of dollars in revenue while causing substantial losses to customers.
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California Investors Allege Unsuitable DST Recommendations in FINRA Arbitration

February 2nd, 2026 at 10:59 AM
Two investors from the San Francisco Bay Area have filed a FINRA arbitration claim against brokerage firm Realized Financial and its financial advisors.
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FINRA Arbitration Panel Orders J.P. Morgan to Amend Form U-5, Flags Potential Pattern of Conduct

January 30th, 2026 at 1:26 PM
A Financial Industry Regulatory Authority (FINRA) arbitration panel recently issued an unusually detailed decision in a dispute between J.P. Morgan Securities and former advisor Joshua David Sappi Biering, shedding rare light on how a firm may deploy - and sometimes abuse - the Form U-5 during advisor departures.
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OFAC Targets Individual Trustee, Sending a Clear Warning to Fiduciaries and Family Offices

January 29th, 2026 at 1:09 PM
In a rare move, the Office of Foreign Assets Control (OFAC) penalized a former U.S. government official, underscoring that professional gatekeepers can face personal liability for sanctions violations tied to trust administration.
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FINRA Advances Overhaul of Outside Business Activity Rules to the SEC

January 28th, 2026 at 2:22 PM
FINRA formally has advanced its proposed overhaul of outside business activity (OBA) regulations to the Securities and Exchange Commission.
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FINRA Sanctions, Criminal Cases, and Industry Bars in 2025

January 27th, 2026 at 3:31 PM
AdvisorHub has compiled a year-end review of enforcement actions and criminal proceedings.
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FINRA Enforcement Actions for Reg BI Violations Surge Past 2024 Levels

January 26th, 2026 at 3:28 PM
The Financial Industry Regulatory Authority (FINRA) already has brought more Regulation Best Interest cases in 2025 than it did during all of 2024, according to statements from the regulator’s top enforcement official and a review of FINRA’s disciplinary records by AdvisorHub.
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JPMorgan Explores Crypto Trading for Institutional Clients as Wall Street Deepens Digital Asset Push

January 23rd, 2026 at 1:30 PM
JPMorgan is weighing another significant expansion into cryptocurrency, as the firm considers allowing institutional clients to trade digital assets, according to Bloomberg Law.
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EC Zeroes In on Persistent Marketing Rule Failures With New Staff FAQs

January 22nd, 2026 at 3:51 PM
The Securities and Exchange Commission (SEC) has sharpened its scrutiny of investment adviser marketing practices, signaling continued frustration with recurring compliance failures despite years of guidance and enforcement. As reported by Financial Advisor News, new staff FAQs published in January follow a December risk alert that detailed persistent deficiencies involving testimonials, endorsements, and third-party rankings.
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New Investor Losses as Yieldstreet Rebrands to Willow ÍøÆØ³Ô¹Ïalth

January 21st, 2026 at 1:22 PM
Yieldstreet, now operating under the name Willow ÍøÆØ³Ô¹Ïalth, continues to report significant losses to investor clients despite a high-profile rebrand.
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I learned two important things working with ÍøÆØ³Ô¹Ï. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made.

Howard S.

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