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ÍøÆØ³Ô¹Ï Blog

FINRA Penalizes Former LPL Advisor for Falsified Signatures

August 15th, 2023 at 8:58 AM
A former LPL Financial advisor, Bradley T. Wastler, has received a ten-month suspension and a $7,500 fine from the Financial Industry Regulatory Authority (FINRA).
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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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TESTIMONIALS

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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.

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.

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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.

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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.