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

厙ぴ勛圖

厙ぴ勛圖 Blog

Crypto Lender Genesis Files For Bankruptcy

February 1st, 2023 at 12:56 PM
Cryptocurrency lender Genesis Global LLC has filed for bankruptcy as the crypto crisis spreads following FTX’s recent meltdown. 
Read More

Former LPL Advisor Receives 8-Year Prison Sentence For Misappropriation of Client Funds

January 31st, 2023 at 1:30 PM
A former LPL financial advisor recently was sentenced to more than eight years in prison, or 100 months, for his role in a scheme that misappropriated $2.8 million from six clients. 
Read More

Silvergate Shares Skyrocket Amidst FTX Meltdown

January 30th, 2023 at 12:54 PM
Silvergate Capital share prices increased after the company announced its fourth-quarter results, even after FTX’s collapse, which forced Silvergate to fire staff and sell assets.
Read More

SEC Files Suit Against Gemini and Genesis Over Crypto Earn Program

January 27th, 2023 at 1:46 PM
The Securities and Exchange Commission (SEC) has filed suit against two crypto brokerages, Genesis Global Capital and Gemini Trust Co., for breaching federal securities laws. 
Read More

FINRA Releases 2023 Report on Its Examination and Risk Monitoring Program

January 26th, 2023 at 3:39 PM
The Financial Industry Regulatory Authority (FINRA) recently released its 2023 Report on FINRA’s Examination and Risk Monitoring Program.
Read More

J.P. Morgan Accuses Advisor Of Improperly Transferring Clients to Morgan Stanley in His Transition

January 25th, 2023 at 2:10 PM
J.P. Morgan has asked a court for a temporary injunction to stop a former advisor from transferring clients during his transition to his new firm, Morgan Stanley. 
Read More

SEC Charges Samuel Bankman-Fried With Using FTX To Defraud Crypto Investors

January 24th, 2023 at 2:57 PM
The Securities and Exchange Commission (SEC) has charged Samuel Bankman-Fried with operating a scheme to defraud equity investors in FTX Trading Ltd. 
Read More

FINRA Expands Enforcement Priorities For 2023

January 23rd, 2023 at 1:08 PM
The Financial Industry Regulatory Authority (FINRA) has announced a plan to expand its enforcement priorities in 2023 to include new areas of focus. 
Read More

New CFP Board Chair Plans to Release New Sanction Guidelines by Midyear

January 20th, 2023 at 2:04 PM
The new Certified Financial Planner Board of Standards (CFP Board) chair, Daniel Moisand, has announced a plan to release revised sanction guidelines for public comment by midyear. 
Read More

Genesis Global Capital Prepares to File for Bankruptcy

January 19th, 2023 at 2:04 PM
Genesis Global Capital is preparing to file for bankruptcy as soon as this week, according to sources interviewed by Bloomberg News. 
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

Thank you for your professional assistance with this matter. You are very good at what you do.

John T.

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.