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

厙ぴ勛圖

厙ぴ勛圖 Blog

Sam Bankman-Fried Charged by SEC With Fraud Over FTX Collapse

December 14th, 2022 at 3:21 PM
The Securities and Exchange Commission (SEC) has charged FTX founder Sam Bankman-Fried with eight criminal counts, including conspiracy and wire fraud, for allegedly misappropriating billions of dollars in customer funds. 
Read More

Morgan Stanley Ordered to Pay $11.7 Million Over Unauthorized Covered Call Strategy

December 13th, 2022 at 3:16 PM
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Morgan Stanley to pay a former client $11.7 million over an allegedly unauthorized call options strategy.
Read More

Hartman vREIT XXXI Releases Going Concern Warning

December 12th, 2022 at 2:51 PM
Hartman vREIT XXXI, a non-traded real estate investment trust, has announced its management’s “substantial doubt about the company’s ability to continue as a going concern”, according to its most recent quarterly report filed with the Securities and Exchange Commission (SEC). 
Read More

FINRA Reminds Firm To Monitor For Red Flags In Options Trading Applications

December 9th, 2022 at 12:16 PM
The Financial Industry Regulatory Authority (FINRA) has released an announcement reminding firms that recommend options trading for clients to be constantly monitoring for “red flags” on customer applications.
Read More

FINRA Orders Morgan Stanley to Pay $697,897 Over Failure to Supervise Nine Advisors

December 8th, 2022 at 2:48 PM
The Financial Industry Regulatory Authority (FINRA) has ordered Morgan Stanley to pay $697,897, including a $200,000 fine and $497,897 in restitution, for failing to adhere to its own procedures for supervising its advisors’ high-risk recommendations. 
Read More

FINRA Bars Former Northwestern Mutual Advisor For Allegedly Cheating on CFP Exam

December 7th, 2022 at 1:52 PM
The Financial Industry Regulatory Authority (FINRA) has barred a former Northwestern Mutual advisor after he failed to cooperate with the regulator’s probe into the Certified Financial Planner Board of Standards’ (CFP Board’s) decision to bar the advisor for alleged “exam misconduct.” 
Read More

FINRA Suspends Former Morgan Stanley Advisor Over Unauthorized Trades

December 6th, 2022 at 2:10 PM
The Financial Industry Regulatory Authority (FINRA) has issued a 20-day suspension and a $6,000 fine to a former Morgan Stanley advisor for allegedly completing several unauthorized trades. 
Read More

Prager Metis Becomes First CPA Firm Involved With FTX Scam

December 5th, 2022 at 1:05 PM
Prager Metis becomes the first CPA firm to open a Metaverse headquarters in the metaverse platform Decentraland. 
Read More

Former J.P. Morgan Advisor Agrees to FINRA Bar

December 2nd, 2022 at 1:19 PM
A former J.P. Morgan advisor has agreed to an industry bar instead of cooperating with the Financial Industry Regulatory Authority’s (FINRA’s) investigation into several allegations of excessive and unauthorized trading that generated nearly $100 million worth of client complaints.
Read More

BlockFi Files for Bankruptcy as FTX and Star Endorsers Named in Lawsuit

December 1st, 2022 at 3:13 PM
BlockFi had paused client withdrawals due to uncertainties with FTX, as the two are closely tied together.
Read More

TESTIMONIALS

Previous
Next
Quotes Bigger

Hiring 厙ぴ勛圖 has been one of the best career decisions I have made and this "investment" to maintain my sterling regulatory record has been returned many times over.  If you are in a situation where you've been unfairly accused, don't hesitate to talk with 厙ぴ勛圖. They are the best.

Thomas C.

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.