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

ÍøÆØ³Ô¹Ï

ÍøÆØ³Ô¹Ï Blog

Morgan Stanley Ordered to Pay $7.8 Million Over Improper Hiring of Schwab Financial Advisors

March 1st, 2023 at 1:32 PM
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Morgan Stanley to pay $7.8 million after its improperly recruited two financial advisors from Charles Schwab in 2019. 
Read More

Prospect BDC Releases Going Concern Warning

February 28th, 2023 at 2:27 PM
Prospect Floating Rate and Alternative Income Fund Inc. (“Prospect”) announced in its most recent quarterly report submitted to the Securities and Exchange Commission (SEC) that “there is substantial doubt about the company’s ability to continue as a going concern” for at least one year after February 13, 2023. 
Read More

SEC Examiners to Target Complex Products, Annuities, Non-Traded REITs in Reg BI Investigations

February 27th, 2023 at 3:26 PM
The Securities and Exchange Commission’s (SEC’s) Examinations Division will target advisors’ recommendations of complex derivatives and leveraged ETFs, as well as annuities and nontraded REITs in Regulation Best Interest (Reg BI) investigations in 2023. 
Read More

Former Edward Jones Advisor Prevails in TRO Dispute After Joining Ameriprise

February 24th, 2023 at 10:42 AM
A federal judge has denied Edward Jones’ request to restrict an Illinois-based advisor from contacting his former clients after departing for Ameriprise. 
Read More

Hightower Sues Texas Advisor Who Departed For Avidian

February 23rd, 2023 at 4:29 PM
Hightower Advisors has filed suit against a Texas-based advisor, James McGinness, for allegedly misappropriating confidential client information and improperly soliciting his former clients in violation of his employment agreement. 
Read More

Hartman vREIT XXI Suspends Investor Distributions

February 22nd, 2023 at 4:38 PM
Hartman vREIT XXI announced that its sponsor, Hartman Income REIT Management, has indefinitely suspended investor distributions. 
Read More

SEC Charges Centaurus Financial, Branch Manager, and Advisor Over Unsuitable Recommendations of Complex Structured Securities

February 21st, 2023 at 2:29 PM
The Securities and Exchange Commission (SEC) has agreed to a settlement with Centaurus Financial, branch manager Ricky Mantei, and financial advisor Atul Makharia over unsuitable recommendations of variable interest rate structure products (VRSPs) to certain retail customers. 
Read More

DOJ Probes Silvergate Over FTX, Alameda Research Involvement

February 20th, 2023 at 4:00 PM
U.S. Department of Justice (DOJ) prosecutors have launched a criminal investigation into Silvergate’s dealings with FTX and Alameda Research, including Silvergate’s hosting of accounts tied to Sam Bankman-Fried’s businesses. 
Read More

SEC Uncovers Massive $500 Million Ponzi Scheme

February 17th, 2023 at 2:30 PM
After Las Vegas investigative reporter Jeff German was killed outside his home in September 2022, The Washington Post and the Las Vegas Review-Journal collaborated to complete one of the stories German had planned to pursue prior to his death. 
Read More

FINRA Suspends Two New York Advisors Over Reg BI Violations

February 16th, 2023 at 4:24 PM
The Financial Industry Regulatory Authority (FINRA) has suspended two New York-based advisors for violating Regulation Best Interest (Reg BI). 
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

If you are being bothered by the Regulators, call ÍøÆØ³Ô¹Ï, you won't regret it.

Rick R.

LATEST NEWS AND ARTICLES

1778171646 Law
May 7, 2026
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.

1778084309 Law
May 6, 2026
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.

1778000603 Law
May 5, 2026
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.