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SEC Charges Three Advisors in Alleged Sale of Unregistered Oil and Gas Securities

January 20th, 2026 at 3:33 PM
The Securities and Exchange Commission (SEC) has charged three advisors and agents with selling millions of dollars in unregistered oil and gas securities to retail investors while failing to disclose conflicts of interest.
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FINRA Study Warns of Declining Investor Participation and Rising Fraud Risks Among Younger Investors

January 19th, 2026 at 1:33 PM
A new study from FINRA’s Investor Education Foundation highlights troubling shifts in retail investing, including shrinking participation, heavier reliance on social media for advice, and growing vulnerability to fraud.
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SEC Signals Sweeping IPO Rule Changes to Ease Path for Smaller Companies

January 16th, 2026 at 11:26 AM
The Securities and Exchange Commission (SEC) plans to overhaul its public offering framework to make it easier for smaller companies to access the public markets, according to remarks SEC Chairman Paul Atkins delivered at the New York Stock Exchange, as reported by Bloomberg Law.
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FINRA Flags Risks of Early Withdrawals and Exchanges in Registered Index-Linked Annuities

January 15th, 2026 at 4:08 PM
The Financial Industry Regulatory Authority (FINRA) has issued a renewed warning to the industry about the risks consumers face when they exit registered index-linked annuities (RILAs) before the end of the contract term.
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FINRA Fines and Suspends ÍøÆØ³Ô¹Ïlls Fargo Advisor Over Fictitious Expense Claims

January 14th, 2026 at 11:43 AM
The Financial Industry Regulatory Authority (FINRA) fined and suspended a ÍøÆØ³Ô¹Ïlls Fargo Advisors representative in Waco, Texas, after finding that he submitted fictitious business expense claims, according to a FINRA Acceptance, Waiver and Consent (AWC) letter.
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Florida Man Indicted in $36 Million Investment Fraud Scheme

January 12th, 2026 at 1:38 PM
According to news sources, federal prosecutors allege that a Florida man orchestrated a multimillion-dollar Ponzi scheme that funded a luxury lifestyle built on stolen investor money, according to the U.S. Department of Justice.
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FINRA Sanctions Former ÍøÆØ³Ô¹Ïlls Fargo Advisor for Profile Falsification and Unauthorized Trading

January 9th, 2026 at 11:27 AM
The Financial Industry Regulatory Authority (FINRA) disciplined former ÍøÆØ³Ô¹Ïlls Fargo Advisors broker James E. Holmes III for misconduct tied to his falsifying customer information and unauthorized trading.
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Georgia Investment Advisor Pleads Guilty to Ponzi Scheme

January 8th, 2026 at 11:21 AM
A former Georgia investment adviser has pleaded guilty to wire fraud after federal prosecutors accused his firm of operating a multiyear Ponzi scheme that cost investors millions of dollars, as reported by Financial Advisor News.
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FINRA Releases 2026 Regulatory Oversight Report, Spotlighting Private Placement Compliance Risks

January 7th, 2026 at 12:22 PM
The Financial Industry Regulatory Authority (FINRA) released its 2026 Annual Regulatory Oversight Report, responding directly to member feedback and reinforcing its stated mission to protect investors and promote market integrity.
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SEC Halts Review of Ultra-Leveraged ETFs, Citing Risk Limits

January 6th, 2026 at 11:47 AM
The U.S. Securities and Exchange Commission (SEC) has stepped in to curb the expansion of ultra-leveraged exchange-traded funds, issuing a series of warning letters that effectively block proposed products designed to deliver three- and five-times the daily returns of stocks, commodities, and cryptocurrencies.
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