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FinCEN Imposes $80 Million Penalty on Canaccord for AML Failures

April 8th, 2026 at 1:45 PM
The U.S.
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SEC Charges Long Island RIA and Executives in $138 Million Private Fund Scheme

April 7th, 2026 at 11:13 AM
A Long Island-based registered investment adviser and two of its senior executives now face parallel civil and criminal proceedings tied to an alleged scheme involving conflicted private fund investments, as reported by InvestmentNews.
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FINRA Arbitration Panel Orders Fidelity to Pay $1.3 Million Over Structured Product Disputes

April 6th, 2026 at 1:28 PM
A Financial Industry Regulatory (FINRA) arbitration panel has ordered Fidelity Brokerage Services to pay approximately $1.3 million to two groups of clients who alleged misconduct tied to structured product investments, according to ThinkAdvisor.
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FINRA Enforcement Trends Show Higher Monetary Sanctions Despite Fewer Cases in 2025

April 3rd, 2026 at 5:57 PM
The Financial Industry Regulatory Authority (FINRA) increased total monetary sanctions in 2025, even as the number of enforcement actions declined.
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Florida FINRA Arbitration Panel Orders Charles Schwab to Pay $3.8 Million to Investors

April 1st, 2026 at 12:28 PM
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Charles Schwab & Co.
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Cybersecurity Breach at Edelman Financial Engines Highlights Growing Risks for Advisory Firms

March 31st, 2026 at 12:13 PM
A recent cybersecurity incident involving Edelman Financial Engines has drawn attention to the increasing number of cyberattacks targeting registered investment advisers, according to Financial Advisor News.
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SEC and CFTC Plan Coordinated Examinations and Enforcement Efforts

March 30th, 2026 at 11:28 AM
The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) plan to coordinate examinations and enforcement actions involving firms that fall under both agencies' jurisdiction, signaling a renewed effort to streamline regulatory oversight, according to AdvisorHub.
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FINRA Charges Former Pruco Securities Representative With Forging Dozens of Customer Signatures on Annuity Applications

March 27th, 2026 at 10:43 AM
The Financial Industry Regulatory Authority (FINRA) filed a disciplinary complaint against former Pruco Securities representative Avinesh Shankar alleging he forged customer signatures on annuity paperwork to obtain commissions, according to ThinkAdvisor.
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FINRA Bars Former Morgan Stanley Financial Advisor After Refusal to Cooperate with Investigation

March 26th, 2026 at 11:58 AM
The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley financial advisor Gregory V.
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Inspired Healthcare Collapse Triggers Investor Claims and Heightened FINRA Scrutiny

March 25th, 2026 at 11:28 AM
The collapse of Inspired Healthcare Capital has left investors facing significant losses and has intensified legal exposure for broker-dealers and financial advisors who sold the company's private offerings.
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LATEST NEWS AND ARTICLES

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.

1783357679 Law
July 6, 2026
Schwab Imposes New Limits on Tax-Aware Long-Short Investment Strategies

Charles Schwab Corp.